CORBAT MICHAEL

SEC source: 0001193125-26-239373 · ownership.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,938

F2 · kind: Common Shares being withheld in order to pay tax liability.

SEC source: 0001193125-26-239373 · ownership.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,131

F1 · kind: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan (the "Plan"), which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

F1 · price: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan (the "Plan"), which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

SEC source: 0001213900-25-068194 · ownership.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,450

SEC source: 0001213900-25-045005 · ownership.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,025

F2 · kind: Common Shares being withheld in order to pay tax liability.

SEC source: 0001213900-25-045005 · ownership.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,205

F1 · kind: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan (the "Plan"), which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

F1 · price: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan (the "Plan"), which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

SEC source: 0001213900-24-044605 · marketforms-65940.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,434

F2 · kind: Common Shares being withheld in order to pay tax liability.

SEC source: 0001213900-24-044605 · marketforms-65940.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,673

F1 · kind: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan, which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

F1 · price: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan, which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

SEC source: 0001209191-23-030877 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 955

F1 · kind: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan, which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

F1 · price: Restricted stock award granted as director fees under a Chubb Limited long-term incentive plan, which meets the requirements of Rule 16b-3. Such restricted stock will vest on the day of the next annual Chubb Limited shareholders meeting, assuming the reporting person is a director of Chubb Limited on such date.

SEC source: 0001209191-21-010271 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 688,901.82

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: 0001209191-21-004860 · doc4.xml · derivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,315.55

Underlying: Common Stock · 29,315.55 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 15, 2018 the Reporting Person received from the Issuer a target award of 101,088.12 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 29,315.55 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 101,088.12 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 29,315.55 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 101,088.12 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 29,315.55 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: 0001209191-21-004860 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,602.53

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

SEC source: 0001209191-21-014867 · doc4a.xml · derivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,254.13

Underlying: Common Stock · 28,254.13 shares

Expires not disclosed

F1 · derivative.exercise_price: On February 15, 2018 the Reporting Person received from the Issuer a target award of 101,088.12 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 28,254.13 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 1,061.42 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 101,088.12 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 28,254.13 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 101,088.12 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 28,254.13 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 1,061.42 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 1,061.42 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: 0001209191-20-009608 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643,865.86

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: 0001209191-20-004494 · doc4.xml · derivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,649.56

Underlying: Common Stock · 101,649.56 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2017 the Reporting Person received from the Issuer a target award of 83,285.18 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 101,649.56 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 83,285.18 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 101,649.56 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 83,285.18 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 101,649.56 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 83,285.18 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 101,649.56 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: 0001209191-20-004494 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,071.15

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

SEC source: 0001209191-19-055166 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Family Trust

Disclosed balance after: 0

F1 · kind: The Corbat Family Trust (the "Trust") was created on December 21, 1999 by Reporting Person, as the settlor and a co-trustee, for the benefit of his then-minor children and was funded in part with 1,781 shares (the "Trust Shares") of the Issuer's common stock (adjusted to reflect the Issuer's 1:10 common stock split on May 9, 2011). The terms of the Trust grant the co-trustees full discretion to distribute the Trust's assets, including the Trust Shares, to the beneficiaries beginning at age 25. The beneficiary to whom the Trust Shares were distributed is over the age of 25, does not reside with the Reporting Person and is not financially dependent upon the Reporting Person.

SEC source: 0001209191-19-010611 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,746.17

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: 0001209191-19-005005 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,858.3

Underlying: Common Stock · 100,858.3 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 121,457.49 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 100,858.30 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 121,457.49 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 100,858.30 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 121,457.49 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 100,858.30 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 121,457.49 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 100,858.30 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: 0001209191-19-005005 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,600.85

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

SEC source: 0001209191-18-010605 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,001.11

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: 0001209191-18-005210 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,879.38

Underlying: Common Stock · 64,879.38 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2015 the Reporting Person received from the Issuer a target award of 68,222.27 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 64,879.38 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 68,222.27 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 64,879.38 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 68,222.27 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 64,879.38 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 68,222.27 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 64,879.38 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: 0001209191-18-005210 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,912.99

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

SEC source: 0001209191-17-012276 · doc4.xml · nonDerivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,775.15

F2 · shares: Represents shares the Reporting Person acquired prior to February 16, 2017.

F4 · price: This price represents the average sale prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from USD $59.90 to USD $60.38. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Person will undertake to provide full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001209191-17-012276 · doc4.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,710.15

F2 · shares: Represents shares the Reporting Person acquired prior to February 16, 2017.

F3 · price: This price represents the average sale prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from USD $60.00 to USD $60.08. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Person will undertake to provide full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001209191-17-012276 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 548,060.15

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: 0001209191-17-005389 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,499.44

Underlying: Common Stock · 39,499.44 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 78,527.71 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 39,499.44 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 78,527.71 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 39,499.44 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 78,527.71 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 39,499.44 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 78,527.71 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 39,499.44 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: 0001209191-17-005389 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,774.97

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

SEC source: 0001209191-16-151945 · doc4.xml · derivative · entry 4

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2017-02-14

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 · shares: On February 14, 2011, the Issuer awarded 150,000 employee stock options to the Reporting Person in accordance with Rule 16b-3. The transactions reported on this Form 4 are exempted pursuant to Rule 16b-3.

SEC source: 0001209191-16-151945 · doc4.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,690.29

F2 · shares: Payment of exercise price and tax liability by withholding securities incident to the exercise of employee stock options issued in accordance with Rule 16b-3.

SEC source: 0001209191-16-151945 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 652,222.85

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 · shares: On February 14, 2011, the Issuer awarded 150,000 employee stock options to the Reporting Person in accordance with Rule 16b-3. The transactions reported on this Form 4 are exempted pursuant to Rule 16b-3.

SEC source: 0001209191-16-101899 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,457.41

Underlying: Common Stock · 48,457.41 shares

Expires 2016-09-02

F1 · derivative.exercise_price: On February 19, 2013 the Reporting Person received from the Issuer a target award of 71,365.84 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 100% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 48,457.41 PSUs.

F2 · derivative.exercise_price: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered two-thirds on March 4, 2016 and the remainder on September 2, 2016. Each PSU is equivalent to the cash value of the average of the high and low prices of one share of the Issuer's common stock on February 19, 2016 and February 22, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F1 · derivative.exercise_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 71,365.84 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 100% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 48,457.41 PSUs.

F2 · derivative.exercise_date: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered two-thirds on March 4, 2016 and the remainder on September 2, 2016. Each PSU is equivalent to the cash value of the average of the high and low prices of one share of the Issuer's common stock on February 19, 2016 and February 22, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F1 · derivative.expiration_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 71,365.84 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 100% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 48,457.41 PSUs.

F2 · derivative.expiration_date: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered two-thirds on March 4, 2016 and the remainder on September 2, 2016. Each PSU is equivalent to the cash value of the average of the high and low prices of one share of the Issuer's common stock on February 19, 2016 and February 22, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F1 · balance_after: On February 19, 2013 the Reporting Person received from the Issuer a target award of 71,365.84 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 100% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 48,457.41 PSUs.

F2 · balance_after: (Continuation of Footnote 1) Each PSU is payable only in cash which is expected to be delivered two-thirds on March 4, 2016 and the remainder on September 2, 2016. Each PSU is equivalent to the cash value of the average of the high and low prices of one share of the Issuer's common stock on February 19, 2016 and February 22, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

SEC source: 0001209191-16-099976 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,222.85

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

SEC source: 0001209191-16-093038 · doc4.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,765.36

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

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,765.36

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

SEC source: 0001181431-15-002869 · rrd422329.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,970.2

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

SEC source: 0001181431-15-001364 · rrd421562.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 324,748

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

SEC source: 0001181431-14-008094 · rrd401751.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,658.6

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

SEC source: 0001181431-14-003639 · rrd399989.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,130.9

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

SEC source: 0001181431-13-011414 · rrd368180.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,677.06

Underlying: Common Stock · 47,677.06 shares

Expires 2013-08-19

F2 · derivative.exercise_price: The Stock Unit is a cash-settled award that vests immediately and will be distributed to the Reporting Person six months following the grant date (subject to tax withholding). Each Stock Unit is the economic equivalent of one share of the Issuer's common stock. The cash amount distributed to the Reporting Person will be determined by multiplying the total number of Stock Units by the average of the high and low prices of the Issuer's common stock on August 19, 2013.

F2 · shares: The Stock Unit is a cash-settled award that vests immediately and will be distributed to the Reporting Person six months following the grant date (subject to tax withholding). Each Stock Unit is the economic equivalent of one share of the Issuer's common stock. The cash amount distributed to the Reporting Person will be determined by multiplying the total number of Stock Units by the average of the high and low prices of the Issuer's common stock on August 19, 2013.

F2 · derivative.exercise_date: The Stock Unit is a cash-settled award that vests immediately and will be distributed to the Reporting Person six months following the grant date (subject to tax withholding). Each Stock Unit is the economic equivalent of one share of the Issuer's common stock. The cash amount distributed to the Reporting Person will be determined by multiplying the total number of Stock Units by the average of the high and low prices of the Issuer's common stock on August 19, 2013.

F2 · derivative.expiration_date: The Stock Unit is a cash-settled award that vests immediately and will be distributed to the Reporting Person six months following the grant date (subject to tax withholding). Each Stock Unit is the economic equivalent of one share of the Issuer's common stock. The cash amount distributed to the Reporting Person will be determined by multiplying the total number of Stock Units by the average of the high and low prices of the Issuer's common stock on August 19, 2013.

F2 · balance_after: The Stock Unit is a cash-settled award that vests immediately and will be distributed to the Reporting Person six months following the grant date (subject to tax withholding). Each Stock Unit is the economic equivalent of one share of the Issuer's common stock. The cash amount distributed to the Reporting Person will be determined by multiplying the total number of Stock Units by the average of the high and low prices of the Issuer's common stock on August 19, 2013.

SEC source: 0001181431-13-011414 · rrd368180.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,887.7

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

SEC source: 0001181431-13-004661 · rrd367238.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 248,521.9

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

SEC source: 0001181431-12-003635 · rrd331228.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · CEO Europe, MidEast, Africa

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,773.8

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

SEC source: 0001181431-12-003172 · rrd330798.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · CEO Europe, MidEast, Africa

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,361.1

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

F2 · balance_after: All share totals have been adjusted to reflect the ten-for-one reverse split of the issuer's common stock that was effective, at the close of business, on May 6, 2011.

SEC source: 0001181431-11-010838 · rrd301707.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500,000

Underlying: Common Stock · 1,500,000 shares

Expires 2017-02-14

F1 · derivative.exercise_date: The options vest in three equal annual installments beginning on February 14, 2012.

F2 · balance_after: If the Reporting Person exercises all or part of the option grant prior to the fifth anniversary of the grant date, the after-tax shares acquired will be subject to a one year sale restriction.

SEC source: 0001181431-11-004855 · rrd298413.xml · nonDerivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,356,776.2

SEC source: 0001181431-11-004855 · rrd298413.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,458,538.2

SEC source: 0001181431-11-004855 · rrd298413.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,566,950.2

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

SEC source: 0001181431-11-004508 · rrd297995.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,733,788.2

F1 · shares: Award of common stock which may be subject to certain vesting and/or transfer restrictions.

SEC source: 0001181431-10-022669 · rrd273030.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,717,852

F2 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the award of stock reported on this Form 4.

SEC source: 0001181431-10-022669 · rrd273030.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · CEO, Citi Holdings

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,999,860

F1 · shares: Award of common stock which may be subject to certain vesting and/or transfer restrictions.