Company · CIK 0000831001 · SIC 6021 — National Commercial Banks · NYSE

CITIGROUP INC · C

Insider activity reported against this company. All insider holders · Files at: MYI, MIY, MYN, CPSS, NAC, NVG, BLJ, BNJ and 41 more. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $5.2M · 6sales $44.3M · 34net −$39.1M

Open-market trades as an insider elsewherebuys $367.2M · 11sales $2.55B · 58net −$2.18B

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Apr 1, 2017 AForm 4 →	Apr 4, 4:11 pm EDT	Ernesto ZedilloDirector	64	$61.11	$3,935	20,558	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:10 pm EDT	James S TurleyDirector	27	$61.11	$1,622	6,073	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:10 pm EDT	William S ThompsonDirector	829	$61.11	$50,638	6,638	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:09 pm EDT	Diana L TaylorDirector	68	$61.11	$4,153	21,921	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:09 pm EDT	Joan E SperoDirector	75	$61.11	$4,578	24,586	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:08 pm EDT	Judith RodinDirector	94	$61.11	$5,735	31,830	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:07 pm EDT	Gary M ReinerDirector	634	$61.11	$38,742	22,519	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:07 pm EDT	Michael E OneillDirector	2,234	$61.11	$136,521	74,201	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:06 pm EDT	Renee Jo JamesDirector	11	$61.11	$653	6,638	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:05 pm EDT	Franz B HumerDirector	47	$61.11	$2,855	6,638	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:05 pm EDT	Peter B. HenryDirector	573	$61.11	$35,043	8,951	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:04 pm EDT	Duncan P HennesDirector	27	$61.11	$1,622	7,050	—	plan?
Apr 1, 2017 AForm 4 →	Apr 4, 4:04 pm EDT	Ellen CostelloDirector	570	$61.11	$34,813	6,638	—	plan?
Feb 20, 2017 FForm 4 →	Feb 21, 6:25 pm EST	James C CowlesCEO, Europe,Middle East&Africa	21,680	$60.12	$1,303,372	292,861	—	plan?
Feb 20, 2017 FForm 4 →	Feb 21, 6:24 pm EST	Jane Nind FraserCEO, Latin America	5,202	$60.12	$312,766	121,629	—	plan?
Feb 17, 2017 SForm 4/A →	Feb 21, 6:21 pm EST	James A. ForesePresident	55,436	$59.60	$3,303,986	500,438	−9.97%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:54 pm EST	Ernesto ZedilloDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:53 pm EST	Deborah C WrightDirector	2,550	—	—	2,550	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:53 pm EST	James S TurleyDirector	2,550	—	—	8,165	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:52 pm EST	William S ThompsonDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:52 pm EST	Diana L TaylorDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:51 pm EST	Joan E SperoDirector	637	—	—	5,715	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:50 pm EST	Anthony M SantomeroDirector	2,550	—	—	6,598	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:50 pm EST	Judith RodinDirector	637	—	—	4,715	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:49 pm EST	Gary M ReinerDirector	2,550	—	—	21,885	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:48 pm EST	Eugene M McQuadeDirector	2,550	—	—	58,410	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:48 pm EST	Renee Jo JamesDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:47 pm EST	Franz B HumerDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:47 pm EST	Peter B. HenryDirector	2,550	—	—	8,936	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:46 pm EST	Duncan P HennesDirector	2,550	—	—	7,039	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:46 pm EST	Ellen CostelloDirector	2,550	—	—	6,627	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:45 pm EST	Rohan WeerasingheGeneral Counsel & Corp. Sec'y	19,122	—	—	135,952	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:44 pm EST	Jeffrey R WalshController	8,414	—	—	56,694	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:44 pm EST	Joseph Michael MurrayHead of Human Resources	7,037	$60.25	$423,979	39,913	−15.0%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:44 pm EST	Joseph Michael MurrayHead of Human Resources	16,997	—	—	46,950	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:43 pm EST	William MillsCEO, North America	29,320	—	—	490,534	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:43 pm EST	W. Bradford HuCHIEF RISK OFFICER	28,172	—	—	65,309	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:42 pm EST	John C GerspachChief Financial Officer	43,342	—	—	281,078	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:42 pm EST	Jane Nind FraserCEO, Latin America	35,000	$60.33	$2,111,550	126,831	−21.6%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:42 pm EST	Jane Nind FraserCEO, Latin America	37,733	—	—	161,831	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:41 pm EST	James A. ForesePresident	55,436	$59.60	$3,303,986	510,002	−9.80%	plan?
Feb 16, 2017 AGForm 4 →	Feb 17, 5:41 pm EST	James A. ForesePresident	85,031	—	—	500,438	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:40 pm EST	Barbara J DesoerCEO, CITIBANK, N.A.	30,595	—	—	90,949	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:40 pm EST	James C CowlesCEO, Europe,Middle East&Africa	60,000	$60.08	$3,604,660	0	−100%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:40 pm EST	James C CowlesCEO, Europe,Middle East&Africa	23,825	—	—	373,540	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:39 pm EST	Don CallahanHead of Operations&Technology	46,636	$60.13	$2,804,223	288,669	−13.9%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:39 pm EST	Don CallahanHead of Operations&Technology	34,674	—	—	335,305	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:39 pm EST	Stephen BirdCEO, Global Consumer Bank	90,000	$60.10	$5,409,000	243,951	−27.0%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:39 pm EST	Stephen BirdCEO, Global Consumer Bank	43,344	—	—	333,951	—	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:38 pm EST	Francisco AristeguietaCEO, Asia Pacific	30,598	—	—	111,336	—	plan?
Feb 16, 2017 SForm 4 →	Feb 17, 5:37 pm EST	Michael CorbatChief Executive Officer, Director	83,285	$60.14	$5,008,690	464,775	−15.2%	plan?
Feb 16, 2017 AForm 4 →	Feb 17, 5:37 pm EST	Michael CorbatChief Executive Officer, Director	83,285	—	—	548,060	—	plan?
Feb 6, 2017 SForm 4 →	Feb 8, 4:09 pm EST	Judith RodinDirector	2,999	$57.75	$173,207	4,078	−42.4%	plan?
Jan 31, 2017 SForm 4 →	Feb 2, 4:09 pm EST	W. Bradford HuCHIEF RISK OFFICER	10,109	$55.96	$565,704	37,137	−21.4%	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:35 pm EST	Eugene M McQuadeDirector	9,444	$56.58	$534,287	55,860	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:35 pm EST	Rohan WeerasingheGeneral Counsel & Corp. Sec'y	9,351	$56.58	$529,024	116,830	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:34 pm EST	Jeffrey R WalshController	4,254	$56.58	$240,669	48,280	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:33 pm EST	Joseph Michael MurrayHead of Human Resources	5,089	$56.58	$287,925	29,953	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:33 pm EST	William MillsCEO, North America	13,046	$56.58	$738,066	461,215	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:32 pm EST	W. Bradford HuCHIEF RISK OFFICER	6,739	$56.58	$381,234	47,246	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:31 pm EST	John C GerspachChief Financial Officer	22,957	$56.58	$1,298,784	237,736	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:30 pm EST	Jane Nind FraserCEO, Latin America	7,828	$56.58	$442,879	124,098	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:30 pm EST	James A. ForesePresident	45,688	$56.58	$2,584,791	489,972	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:29 pm EST	Barbara J DesoerCEO, CITIBANK, N.A.	7,178	$56.58	$406,106	60,355	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:28 pm EST	Michael CorbatChief Executive Officer, Director	44,915	$56.58	$2,541,084	464,775	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:28 pm EST	Don CallahanHead of Operations&Technology	21,232	$56.58	$1,201,191	300,631	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:27 pm EST	Stephen BirdCEO, Global Consumer Bank	17,914	$56.58	$1,013,483	290,607	—	plan?
Jan 20, 2017 FForm 4 →	Jan 24, 6:26 pm EST	Francisco AristeguietaCEO, Asia Pacific	1,197	$56.58	$67,729	80,737	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:19 pm EST	Ernesto ZedilloDirector	67	$58.65	$3,924	7,077	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:18 pm EST	James S TurleyDirector	28	$58.65	$1,618	3,057	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:17 pm EST	William S ThompsonDirector	871	$58.65	$51,102	7,077	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:16 pm EST	Diana L TaylorDirector	71	$58.65	$4,141	7,077	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:16 pm EST	Joan E SperoDirector	673	$58.65	$39,470	8,077	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:15 pm EST	Judith RodinDirector	106	$58.65	$6,197	7,077	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:14 pm EST	Gary M ReinerDirector	660	$58.65	$38,711	19,336	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:14 pm EST	Peter B. HenryDirector	596	$58.65	$34,947	6,387	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:13 pm EST	Ellen CostelloDirector	592	$58.65	$34,718	4,078	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:10 pm EST	Michael E OneillDirector	2,321	$58.65	$136,147	71,966	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:09 pm EST	Renee Jo JamesDirector	11	$58.65	$651	4,078	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:09 pm EST	Franz B HumerDirector	49	$58.65	$2,847	10,759	—	plan?
Jan 3, 2017 AForm 4 →	Jan 5, 4:08 pm EST	Duncan P HennesDirector	28	$58.65	$1,618	3,057	—	plan?
Nov 30, 2016 FMForm 4 →	Dec 1, 4:21 pm EST	James A. ForesePresident	145,253	$52.63	$7,644,083	535,660	—	plan?
Nov 22, 2016 FMForm 4 →	Nov 23, 4:03 pm EST	Jeffrey R WalshController	38,975	$52.24	$2,035,896	52,534	—	plan?
Nov 22, 2016 FMForm 4 →	Nov 23, 4:02 pm EST	W. Bradford HuCHIEF RISK OFFICER	24,298	$52.23	$1,269,014	53,984	—	plan?
Nov 22, 2016 FMForm 4 →	Nov 23, 4:02 pm EST	John C GerspachChief Financial Officer	291,577	$52.23	$15,228,166	260,692	—	plan?
Nov 22, 2016 FMForm 4 →	Nov 23, 4:01 pm EST	Michael CorbatChief Executive Officer, Director	292,533	$52.24	$15,281,258	509,690	—	plan?
Nov 16, 2016 FMForm 4 →	Nov 16, 5:15 pm EST	William MillsCEO, North America	292,880	$52.20	$15,287,723	474,260	—	plan?
Nov 16, 2016 FMForm 4 →	Nov 16, 5:14 pm EST	Stephen BirdCEO, Global Consumer Bank	194,941	$52.19	$10,174,457	308,521	—	plan?
Nov 15, 2016 FMForm 4 →	Nov 15, 4:01 pm EST	Don CallahanHead of Operations&Technology	146,293	$51.82	$7,580,820	321,863	—	plan?
Nov 11, 2016 FMForm 4 →	Nov 14, 5:48 pm EST	James A. ForesePresident	195,882	$51.31	$10,050,208	530,913	—	plan?
Nov 11, 2016 FMForm 4 →	Nov 14, 5:41 pm EST	Eugene M McQuadeDirector	195,926	$51.31	$10,052,581	65,304	—	plan?
Nov 10, 2016 FMForm 4 →	Nov 10, 5:55 pm EST	Don CallahanHead of Operations&Technology	148,247	$50.33	$7,461,307	318,156	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:13 pm EDT	Ernesto ZedilloDirector	83	$47.31	$3,910	7,058	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:12 pm EDT	James S TurleyDirector	34	$47.31	$1,612	3,049	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:12 pm EDT	William S ThompsonDirector	1,080	$47.31	$51,089	7,058	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:11 pm EDT	Diana L TaylorDirector	87	$47.31	$4,126	7,058	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:10 pm EDT	Joan E SperoDirector	831	$47.31	$39,336	8,058	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:09 pm EDT	Judith RodinDirector	131	$47.31	$6,176	7,058	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:08 pm EDT	Gary M ReinerDirector	818	$47.31	$38,703	18,676	—	plan?
Oct 1, 2016 AForm 4 →	Oct 4, 4:07 pm EDT	Michael E OneillDirector	2,868	$47.31	$135,687	69,645	—	plan?

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jan 20, 2019 AForm 4 →	Jan 23, 5:19 pm EST	Rohan WeerasingheGeneral Counsel & Corp. Sec'y	25,215	—	—	25,215	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:18 pm EST	William MillsCEO, North America	38,662	—	—	38,662	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:17 pm EST	W. Bradford HuCHIEF RISK OFFICER	27,036	—	—	27,036	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:16 pm EST	John C GerspachChief Financial Officer	57,153	—	—	57,153	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:16 pm EST	Jane Nind FraserCEO, Latin America	47,171	—	—	47,171	—	amended
Jan 20, 2019 AForm 4 →	Jan 23, 5:15 pm EST	James A. ForesePresident	104,242	—	—	104,242	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:14 pm EST	Barbara J DesoerCEO, CITIBANK, N.A.	38,662	—	—	38,662	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:13 pm EST	Michael CorbatChief Executive Officer, Director	100,858	—	—	100,858	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:13 pm EST	Stephen BirdCEO, Global Consumer Bank	53,789	—	—	53,789	—
Jan 20, 2019 AForm 4 →	Jan 23, 5:12 pm EST	Francisco AristeguietaCEO, Asia Pacific	36,981	—	—	36,981	—
Feb 15, 2018 AForm 4 →	Feb 16, 8:06 am EST	James C CowlesCEO, Europe,Middle East&Africa	4,903	—	—	4,903	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:46 pm EST	Rohan WeerasingheGeneral Counsel & Corp. Sec'y	18,806	—	—	18,806	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:45 pm EST	Joseph Michael MurrayHead of Human Resources	10,609	—	—	10,609	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:44 pm EST	William MillsCEO, North America	31,170	—	—	31,170	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:42 pm EST	John C GerspachChief Financial Officer	39,492	—	—	39,492	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:40 pm EST	James A. ForesePresident	73,483	—	—	73,483	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:39 pm EST	Barbara J DesoerCEO, CITIBANK, N.A.	9,403	—	—	9,403	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:38 pm EST	Michael CorbatChief Executive Officer, Director	64,879	—	—	64,879	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:38 pm EST	Don CallahanHead of Operations&Technology	38,081	—	—	38,081	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:37 pm EST	Stephen BirdCEO, Global Consumer Bank	42,455	—	—	42,455	—
Jan 22, 2018 AForm 4 →	Jan 24, 5:36 pm EST	Francisco AristeguietaCEO, Asia Pacific	18,923	—	—	18,923	—
Feb 20, 2017 AForm 4 →	Feb 21, 6:25 pm EST	James C CowlesCEO, Europe,Middle East&Africa	18,278	—	—	18,278	—
Feb 16, 2017 AForm 4 →	Feb 17, 5:40 pm EST	James C CowlesCEO, Europe,Middle East&Africa	5,792	—	—	5,792	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:35 pm EST	Eugene M McQuadeDirector	22,332	—	—	22,332	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:35 pm EST	Rohan WeerasingheGeneral Counsel & Corp. Sec'y	10,128	—	—	10,128	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:33 pm EST	William MillsCEO, North America	16,028	—	—	16,028	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:31 pm EST	John C GerspachChief Financial Officer	21,269	—	—	21,269	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:30 pm EST	James A. ForesePresident	41,095	—	—	41,095	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:28 pm EST	Michael CorbatChief Executive Officer, Director	39,499	—	—	39,499	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:28 pm EST	Don CallahanHead of Operations&Technology	20,509	—	—	20,509	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:27 pm EST	Stephen BirdCEO, Global Consumer Bank	20,599	—	—	20,599	—
Jan 20, 2017 AForm 4 →	Jan 24, 6:26 pm EST	Francisco AristeguietaCEO, Asia Pacific	7,140	—	—	7,140	—
Nov 30, 2016 MForm 4 →	Dec 1, 4:21 pm EST	James A. ForesePresident	75,000	—	—	0	—
Nov 22, 2016 MForm 4 →	Nov 23, 4:03 pm EST	Jeffrey R WalshController	20,000	—	—	0	—
Nov 22, 2016 MForm 4 →	Nov 23, 4:02 pm EST	W. Bradford HuCHIEF RISK OFFICER	12,500	—	—	0	—
Nov 22, 2016 MForm 4 →	Nov 23, 4:02 pm EST	John C GerspachChief Financial Officer	150,000	—	—	0	—
Nov 22, 2016 MForm 4 →	Nov 23, 4:01 pm EST	Michael CorbatChief Executive Officer, Director	150,000	—	—	0	—
Nov 16, 2016 MForm 4 →	Nov 16, 5:15 pm EST	William MillsCEO, North America	150,000	—	—	0	—
Nov 16, 2016 MForm 4 →	Nov 16, 5:14 pm EST	Stephen BirdCEO, Global Consumer Bank	100,000	—	—	0	—
Nov 15, 2016 MForm 4 →	Nov 15, 4:01 pm EST	Don CallahanHead of Operations&Technology	75,000	—	—	0	—
Nov 11, 2016 MForm 4 →	Nov 14, 5:48 pm EST	James A. ForesePresident	100,000	—	—	75,000	—
Nov 11, 2016 MForm 4 →	Nov 14, 5:41 pm EST	Eugene M McQuadeDirector	100,000	—	—	0	—
Nov 10, 2016 MForm 4 →	Nov 10, 5:55 pm EST	Don CallahanHead of Operations&Technology	75,000	—	—	75,000	—
Feb 22, 2016 AForm 4 →	Feb 24, 4:17 pm EST	Michael CorbatChief Executive Officer, Director	48,457	—	—	48,457	—
Jan 20, 2016 AForm 4 →	Jan 22, 5:43 pm EST	John C GerspachChief Financial Officer	30,139	—	—	30,139	—
Jan 20, 2016 AForm 4 →	Jan 22, 5:42 pm EST	Eugene M McQuadeDirector	32,457	—	—	32,457	—
Jan 20, 2016 AForm 4 →	Jan 22, 5:41 pm EST	Don CallahanHead of Operations&Technology	32,457	—	—	32,457	—
May 22, 2015 MForm 4 →	May 26, 5:24 pm EDT	Joseph Michael MurrayHead of Human Resources	20,990	—	—	0	—
May 21, 2015 MForm 4 →	May 26, 5:24 pm EDT	W. Bradford HuCHIEF RISK OFFICER	10,619	—	—	0	—
May 21, 2015 MForm 4 →	May 26, 5:23 pm EDT	Francisco AristeguietaCEO, Latin America	16,952	—	—	0	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Mar 3, 2015 SForm 4 →	Mar 4, 4:14 pm EST	NUVEEN AMT-FREE MUNICIPAL INCOME FUNDNEA	305	$100,000.00	$30,500,000	0	−100%	plan?
Feb 25, 2015 JForm 4 →	Feb 27, 3:50 pm EST	WESTERN ASSET INTERMEDIATE MUNI FUND INC.SBI	1,849	$90.00	$166,410	0	—	plan?
Feb 24, 2015 SForm 4 →	Feb 25, 4:40 pm EST	NUVEEN NEW YORK AMT-FREE MUNICIPAL INCOME FUNDNRK	100	$100,000.00	$10,000,000	0	−100%	plan?
Feb 11, 2015 SForm 4 →	Feb 12, 4:40 pm EST	PACHOLDER HIGH YIELD FUND INCPHF	939	$82.75	$77,702	0	−100%	plan?
Feb 2, 2015 PForm 4 →	Feb 3, 4:37 pm EST	FRANKLIN LTD DURATION INCOME TRUSTFTF	1	$85.00	$85	1,777	+0.06%	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Jul 10, 2018 XForm 4 →	Jul 12, 4:07 pm EDT	CONSUMER PORTFOLIO SERVICES INCCPSS	2,000,000	—	—	0	—