Forese James A.

SEC source: 0001209191-19-013439 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,792.51

SEC source: 0001209191-19-010645 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,620.51

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: 0001209191-19-005007 · doc4.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,242.35

Underlying: Common Stock · 104,242.35 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 125,532.70 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 104,242.35 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 125,532.70 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 104,242.35 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 125,532.70 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 104,242.35 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 125,532.70 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 104,242.35 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: 0001209191-19-005007 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,912.56

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

SEC source: 0001209191-18-014962 · doc4.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,826.35

SEC source: 0001209191-18-014962 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 531,226.35

SEC source: 0001209191-18-010615 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 537,292.35

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: 0001209191-18-005212 · doc4.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,482.95

Underlying: Common Stock · 73,482.95 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2015 the Reporting Person received from the Issuer a target award of 77,269.13 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 73,482.95 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 77,269.13 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 73,482.95 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 77,269.13 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 73,482.95 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 77,269.13 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 73,482.95 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: 0001209191-18-005212 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,705.57

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

SEC source: 0001209191-17-012285 · doc4.xml · nonDerivative · entry 3

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,438.41

F4 · shares: Represents gifts by the Reporting Person to charitable organizations.

SEC source: 0001209191-17-012883 · doc4a.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,438.41

F1 · date: The Reporting Person's original Form 4 filed on February 17, 2017 misstated the date on which the Reporting Person sold 55,426 shares of the Issuer's common stock. The sale occurred on February 17, 2017, not February 16, 2017 as stated in the original Form 4. This amended Form 4 is filed solely to correct the sale date in the original Form 4 and not to report any additional sale of the Issuer's common stock by the Reporting Person. All other information in the original Form 4 was and remains accurate.

F1 · kind: The Reporting Person's original Form 4 filed on February 17, 2017 misstated the date on which the Reporting Person sold 55,426 shares of the Issuer's common stock. The sale occurred on February 17, 2017, not February 16, 2017 as stated in the original Form 4. This amended Form 4 is filed solely to correct the sale date in the original Form 4 and not to report any additional sale of the Issuer's common stock by the Reporting Person. All other information in the original Form 4 was and remains accurate.

F1 · shares: The Reporting Person's original Form 4 filed on February 17, 2017 misstated the date on which the Reporting Person sold 55,426 shares of the Issuer's common stock. The sale occurred on February 17, 2017, not February 16, 2017 as stated in the original Form 4. This amended Form 4 is filed solely to correct the sale date in the original Form 4 and not to report any additional sale of the Issuer's common stock by the Reporting Person. All other information in the original Form 4 was and remains accurate.

F1 · price: The Reporting Person's original Form 4 filed on February 17, 2017 misstated the date on which the Reporting Person sold 55,426 shares of the Issuer's common stock. The sale occurred on February 17, 2017, not February 16, 2017 as stated in the original Form 4. This amended Form 4 is filed solely to correct the sale date in the original Form 4 and not to report any additional sale of the Issuer's common stock by the Reporting Person. All other information in the original Form 4 was and remains accurate.

F1 · acquired: The Reporting Person's original Form 4 filed on February 17, 2017 misstated the date on which the Reporting Person sold 55,426 shares of the Issuer's common stock. The sale occurred on February 17, 2017, not February 16, 2017 as stated in the original Form 4. This amended Form 4 is filed solely to correct the sale date in the original Form 4 and not to report any additional sale of the Issuer's common stock by the Reporting Person. All other information in the original Form 4 was and remains accurate.

SEC source: 0001209191-17-012285 · doc4.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,002.41

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 $59.41 to USD $59.83. 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: 0001209191-17-012285 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 565,438.41

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: 0001209191-17-005391 · doc4.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,094.61

Underlying: Common Stock · 41,094.61 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 81,699.02 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 41,094.61 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 81,699.02 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 41,094.61 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 81,699.02 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 41,094.61 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 81,699.02 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 41,094.61 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: 0001209191-17-005391 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,971.84

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

SEC source: 0001209191-16-152671 · doc4.xml · derivative · entry 3

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 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 175,000 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: 0001209191-16-152671 · doc4.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,659.71

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: 0001209191-16-152671 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 605,913

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 175,000 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: 0001209191-16-149844 · doc4.xml · derivative · entry 3

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 100,000 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 175,000 employee stock options to the Reporting Person in accordance with Rule 16b-3. The transactions reported on this Form 4 represent a partial exercise and conversion of 100,000 employee stock options exempted pursuant to Rule 16b-3.

SEC source: 0001209191-16-149844 · doc4.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,913

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: 0001209191-16-149844 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 626,794.52

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 175,000 employee stock options to the Reporting Person in accordance with Rule 16b-3. The transactions reported on this Form 4 represent a partial exercise and conversion of 100,000 employee stock options exempted pursuant to Rule 16b-3.

SEC source: 0001209191-16-099982 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,794.52

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

SEC source: 0001209191-16-093072 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,261.82

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

SEC source: 0001181431-15-002871 · rrd422333.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,548.2

F2 · shares: Represents gifts by the Reporting Person to charitable organizations.

SEC source: 0001181431-15-002871 · rrd422333.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462,190.2

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

SEC source: 0001181431-15-001366 · rrd421563.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,921.1

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

SEC source: 0001181431-14-008096 · rrd401754.xml · nonDerivative · entry 3

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,576.2

SEC source: 0001181431-14-008096 · rrd401754.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,676.2

F2 · 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 $49.64 to $49.72. 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: 0001181431-14-008096 · rrd401754.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,576.2

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

SEC source: 0001181431-14-003641 · rrd399992.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 417,877.2

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

SEC source: 0001181431-13-011417 · rrd368184.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,951.1

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

SEC source: 0001181431-13-004663 · rrd367362.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 410,592.5

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

SEC source: 0001181431-13-003407 · rrd366847.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 466,412.7

F2 · shares: Represents the partial forfeiture of a stock award granted to the Reporting Person on January 14, 2009, as reported in a Form 4 filed on January 16, 2009 (adjusted to reflect the Issuer's 1-for-10 reverse stock split effective as of the close of trading on May 6, 2011), due to formulaic performance vesting conditions not being satisfied.

SEC source: 0001181431-13-003407 · rrd366847.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,884.2

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

SEC source: 0001181431-09-004365 · rrd230664.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Head, Global Capital Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,809,499.6

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

SEC source: 0001181431-09-003450 · rrd229586.xml · derivative · entry 3

Forese James A. · CIK 0001433386 · Head, Global Capital Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,458

Underlying: Common Stock · 297,458 shares

Expires 2019-01-14

F2 · derivative.exercise_date: The options vest in four annual installments beginning on the date indicated.

SEC source: 0001181431-09-003450 · rrd229586.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · Head, Global Capital Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,458

Underlying: Common Stock · 297,458 shares

Expires 2019-01-14

F2 · derivative.exercise_date: The options vest in four annual installments beginning on the date indicated.

SEC source: 0001181431-09-003450 · rrd229586.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Head, Global Capital Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,941,865.6

F1 · shares: Award of deferred stock that is subject to (1) vesting based on certain time and performance targets and (2) partial cancellation in the event performance targets are not met. None of the shares may be delivered to the Reporting Person until the fourth anniversary of the grant date.

SEC source: 0001181431-08-061851 · rrd223450.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Head, Global Capital Markets

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,378,402.5

F1 · price: This price represents the average purchase prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $9.25 to $9.44. 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: 0001181431-08-026915 · rrd204054.xml · nonDerivative · entry 3

Forese James A. · CIK 0001433386 · Head of Sales & Trding/Cap. Mk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,178,402.5

SEC source: 0001181431-08-026915 · rrd204054.xml · nonDerivative · entry 2

Forese James A. · CIK 0001433386 · Head of Sales & Trding/Cap. Mk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,219,802.5

SEC source: 0001181431-08-026915 · rrd204054.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · Head of Sales & Trding/Cap. Mk

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,253,402.5