Weerasinghe Rohan

SEC source: 0001968915-26-000143 · wk-form4_1790027220.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,260

Underlying: Common Stock · 26 shares

Expires not disclosed

F3 · derivative.exercise_price: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · shares: Represents shares of deferred restricted stock units ("DRSUs") acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such awards.

F3 · derivative.exercise_date: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F3 · derivative.expiration_date: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001968915-26-000143 · wk-form4_1790027220.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,311

F1 · shares: Represents shares of deferred restricted stock units ("DRSUs") acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such awards.

F2 · balance_after: Includes 8,625 DRSUs that have vested and will settle upon the reporting person's termination of board service.

SEC source: 0001968915-26-000101 · wk-form4_1782418993.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,234

Underlying: Common Stock · 19 shares

Expires not disclosed

F3 · derivative.exercise_price: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · shares: Represents shares of deferred restricted stock units ("DRSUs") acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such awards.

F3 · derivative.exercise_date: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F3 · derivative.expiration_date: Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001968915-26-000101 · wk-form4_1782418993.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,269

F1 · shares: Represents shares of deferred restricted stock units ("DRSUs") acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such awards.

F2 · balance_after: Includes 8,583 DRSUs that have vested and will settle upon the reporting person's termination of board service.

SEC source: 0001968915-26-000075 · wk-form4_1779913062.xml · derivative · entry 4

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,215

Underlying: Common Stock · 3,075 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F3 · derivative.exercise_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F3 · derivative.expiration_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001968915-26-000075 · wk-form4_1779913062.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,140

Underlying: Common Stock · 2,140 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · derivative.exercise_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · derivative.expiration_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on May 22, 2027. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001968915-26-000072 · wk-form4_1779481211.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,551 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: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock. The DRSUs vested on May 21, 2026. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.exercise_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock. The DRSUs vested on May 21, 2026. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock. The DRSUs vested on May 21, 2026. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001968915-26-000072 · wk-form4_1779481211.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,237

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: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock. The DRSUs vested on May 21, 2026. These DRSUs will settle into an equal number of shares of the issuer's common stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · balance_after: Includes 8,551 DRSUs that have vested and will settle upon the reporting person's termination of board service.

SEC source: 0001968915-26-000044 · wk-form4_1774386146.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,551

Underlying: Common Stock · 41 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · shares: Represents shares of DRSUs acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such award.

F1 · derivative.exercise_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001550815-25-000006 · wk-form4_1765839418.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,510

Underlying: Common Stock · 39 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · shares: Represents shares of DRSUs acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such award.

F1 · derivative.exercise_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001550815-25-000004 · wk-form4_1758062451.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,471

Underlying: Common Stock · 39 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · shares: Represents shares of DRSUs acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such award.

F1 · derivative.exercise_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001628280-25-032187 · wk-form4_1750282804.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,432

Underlying: Common Stock · 53 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · shares: Represents shares of DRSUs acquired following the automatic reinvestment of dividends on outstanding DRSUs held on the dividend record date, as required by the terms of such award.

F1 · derivative.exercise_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Each deferred restricted stock unit ("DRSU") is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001628280-25-027581 · wk-form4_1748031426.xml · derivative · entry 4

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,379

Underlying: Common Stock · 5,080 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · derivative.exercise_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F2 · derivative.expiration_date: Represents DRSUs that the reporting person elected to receive in lieu of the annual non-employee director cash retainer. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001628280-25-027581 · wk-form4_1748031426.xml · derivative · entry 3

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,299

Underlying: Common Stock · 3,299 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents deferred restricted stock units ("DRSUs") that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.exercise_date: Represents deferred restricted stock units ("DRSUs") that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

F1 · derivative.expiration_date: Represents deferred restricted stock units ("DRSUs") that the reporting person elected to receive in lieu of the annual non-employee director grant of shares of restricted stock. Each DRSU is the economic equivalent of one share of PHINIA Inc. common stock and will vest on the one-year anniversary of the grant date. These DRSUs will settle into an equal number of shares of the issuer's Common Stock, including any additional DRSUs acquired as a result of dividend equivalents that have vested, upon the reporting person's termination of board service pursuant to the issuer's Director Deferred Compensation Program and 2023 Stock Incentive Plan.

SEC source: 0001628280-25-013232 · wk-form4_1742248695.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,665

F1 · balance_after: Includes 3,315 shares of restricted stock.

SEC source: 0001628280-25-013663 · wk-form4_1742346634.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,686

F1 · shares: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on outstanding restricted stock held on the dividend record date, as required by the terms of such award.

F2 · balance_after: Includes 3,336 shares of restricted stock.

SEC source: 0001628280-24-051419 · wk-form4_1734384772.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,535

F1 · shares: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on outstanding restricted stock held on the dividend record date, as required by the terms of such award.

F2 · balance_after: Includes 3,315 shares of restricted stock.

SEC source: 0001628280-24-040539 · wk-form4_1726521381.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,519

F1 · kind: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on outstanding restricted stock held on the dividend record date, as required by the terms of such award.

F2 · balance_after: Includes 3,299 shares of restricted stock.

SEC source: 0001628280-24-028661 · wk-form4_1718670155.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,501

F1 · kind: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on outstanding restricted stock held on the dividend record date, as required by the terms of such award.

F2 · balance_after: This amount includes 3,281 shares of restricted stock.

SEC source: 0001628280-24-022894 · wk-form4_1715631206.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,481

F1 · kind: Represents an annual grant of restricted stock to independent directors.

F2 · balance_after: This amount includes 3,261 shares of restricted stock.

SEC source: 0001628280-24-012071 · wk-form4_1710899892.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,220

F1 · kind: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on outstanding restricted stock held on the dividend record date, as required by the terms of such awards.

F2 · balance_after: This amount includes 13,220 shares of restricted stock.

SEC source: 0001628280-23-041894 · wk-form4_1702987308.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,130

F1 · kind: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on existing restricted stock as required by the award agreements governing the restricted stock. The newly acquired shares of restricted stock will vest and be settled proportionately with the existing restricted stock to which they relate.

F2 · balance_after: Shares listed are restricted stock.

SEC source: 0001968915-23-000030 · wk-form4_1695763846.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,016

F1 · kind: Reflects shares of restricted stock acquired following the automatic reinvestment of dividends on existing restricted stock as required by the award agreements governing the restricted stock. The newly acquired shares of restricted stock will vest and be settled proportionately with the existing restricted stock to which they relate.

F2 · balance_after: Shares listed are restricted stock.

SEC source: 0000897069-23-000946 · form4.xml · nonDerivative · entry 2

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,891

F2 · shares: Represents an annual grant of restricted stock to independent directors.

SEC source: 0000897069-23-000946 · form4.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,142

F1 · shares: Represents a one-time grant of restricted stock to independent directors.

SEC source: 0001209191-21-010321 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,492.98

F1 · shares: Award of deferred stock pursuant to the Issuer's 2019 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2022; none of the award is eligible for immediate sale.

SEC source: 0001209191-21-004873 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,428

Underlying: Common Stock · 6,428 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,428 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

F2 · derivative.exercise_date: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,428 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

F2 · derivative.expiration_date: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,428 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

SEC source: 0001209191-21-004873 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,618.31

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

SEC source: 0001209191-21-014889 · doc4a.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,195.26

Underlying: Common Stock · 6,195.26 shares

Expires not disclosed

F1 · derivative.exercise_price: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,195.26 PSUs.

F2 · derivative.exercise_price: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

F3 · shares: Due to the downward adjustment of the Issuer's 4Q 2020 financial results that was reported in the Issuer's Form 10-K for the year ended December 31, 2020, the number of PSUs awarded to the Reporting Person was reduced by 232.74 units. The amounts reported in Table II reflect the reduction in the number of PSUs awarded to the Reporting Person that occurred following the filing of the original Form 4 on January 22, 2021.

F1 · derivative.exercise_date: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,195.26 PSUs.

F2 · derivative.exercise_date: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

F1 · derivative.expiration_date: On February 15, 2018 the Reporting Person received from the Issuer a target award of 22,165.50 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2020 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2020. Based on performance during the Performance Period, the Reporting Person is entitled to receive 6,195.26 PSUs.

F2 · derivative.expiration_date: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2021. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2021, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2017 through February 28, 2021.

F3 · derivative.underlying_shares: Due to the downward adjustment of the Issuer's 4Q 2020 financial results that was reported in the Issuer's Form 10-K for the year ended December 31, 2020, the number of PSUs awarded to the Reporting Person was reduced by 232.74 units. The amounts reported in Table II reflect the reduction in the number of PSUs awarded to the Reporting Person that occurred following the filing of the original Form 4 on January 22, 2021.

F3 · balance_after: Due to the downward adjustment of the Issuer's 4Q 2020 financial results that was reported in the Issuer's Form 10-K for the year ended December 31, 2020, the number of PSUs awarded to the Reporting Person was reduced by 232.74 units. The amounts reported in Table II reflect the reduction in the number of PSUs awarded to the Reporting Person that occurred following the filing of the original Form 4 on January 22, 2021.

SEC source: 0001209191-20-009641 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,018.2

F1 · shares: Award of deferred stock pursuant to the Issuer's 2019 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2021; none of the award is eligible for immediate sale.

SEC source: 0001209191-20-004503 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,337.92

Underlying: Common Stock · 23,337.92 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2017 the Reporting Person received from the Issuer a target award of 19,121.60 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2019 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2019. Based on the adjustments described above, the Reporting Person is entitled to receive 23,337.92 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2020. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2020, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2016 through February 28, 2020.

F2 · derivative.exercise_date: On February 16, 2017 the Reporting Person received from the Issuer a target award of 19,121.60 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2019 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2019. Based on the adjustments described above, the Reporting Person is entitled to receive 23,337.92 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2020. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2020, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2016 through February 28, 2020.

F2 · derivative.expiration_date: On February 16, 2017 the Reporting Person received from the Issuer a target award of 19,121.60 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2019 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2019. Based on the adjustments described above, the Reporting Person is entitled to receive 23,337.92 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2020. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2020, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2016 through February 28, 2020.

F2 · balance_after: On February 16, 2017 the Reporting Person received from the Issuer a target award of 19,121.60 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's cumulative earnings per share over the three-year period ending on December 31, 2019 (the "Performance Period") and (ii) the Issuer's average return on tangible common equity in 2019. Based on the adjustments described above, the Reporting Person is entitled to receive 23,337.92 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2020. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock on the New York Stock Exchange for the twenty trading days immediately preceding January 20, 2020, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2016 through February 28, 2020.

SEC source: 0001209191-20-004503 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,926.96

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

SEC source: 0001209191-19-010660 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,524.13

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-005014 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,214.57

Underlying: Common Stock · 25,214.57 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005014 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,690.91

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

SEC source: 0001209191-18-010627 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,553.42

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2019; none of the award is eligible for immediate sale.

SEC source: 0001209191-18-005219 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,805.62

Underlying: Common Stock · 18,805.62 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2015 the Reporting Person received from the Issuer a target award of 19,774.57 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2017 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 18,805.62 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 16, 2018. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period January 12, 2018 through January 19, 2018, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2014 through February 16, 2018.

F2 · derivative.exercise_date: On February 16, 2015 the Reporting Person received from the Issuer a target award of 19,774.57 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2017 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 18,805.62 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 16, 2018. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period January 12, 2018 through January 19, 2018, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2014 through February 16, 2018.

F2 · derivative.expiration_date: On February 16, 2015 the Reporting Person received from the Issuer a target award of 19,774.57 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2017 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 18,805.62 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 16, 2018. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period January 12, 2018 through January 19, 2018, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2014 through February 16, 2018.

F2 · balance_after: On February 16, 2015 the Reporting Person received from the Issuer a target award of 19,774.57 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2017 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 18,805.62 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 16, 2018. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period January 12, 2018 through January 19, 2018, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2014 through February 16, 2018.

SEC source: 0001209191-18-005219 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,387.92

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

SEC source: 0001209191-17-037666 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,421.88

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

SEC source: 0001209191-17-012298 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,951.68

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2018; none of the award is eligible for immediate sale.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,128.07

Underlying: Common Stock · 10,128.07 shares

Expires not disclosed

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

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

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

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

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,830.08

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

SEC source: 0001209191-16-125586 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,180.92

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

SEC source: 0001209191-16-100002 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,710.72

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan.

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,346.35

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

SEC source: 0001181431-15-007860 · rrd425416.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,064.1

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

SEC source: 0001181431-15-002879 · rrd422345.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,593.9

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan.

SEC source: 0001181431-15-001374 · rrd421571.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,819.4

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

SEC source: 0001181431-14-022358 · rrd410754.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,484.5

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

SEC source: 0001181431-14-008106 · rrd401785.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,014.3

F1 · shares: Award of deferred stock pursuant to the Issuer's 2009 Stock Incentive Plan.