Sale
MURRAY JOSEPH MICHAEL officer: Head of Human Resources officer: Head of Human Resources
Common Stock 5,949 $54.73 $325,589 Sale
ARISTEGUIETA FRANCISCO officer: CEO, Asia Pacific officer: CEO, Asia Pacific
Common Stock 1,000 $48.59 $48,590 Sale
GERSPACH JOHN C officer: Chief Financial Officer officer: Chief Financial Officer
Common Stock 2,000 $48.55 $97,100 Purchase
THOMPSON WILLIAM S director director
Series K Depositary Shares 18,768 $26.7 $501,106 Purchase
THOMPSON WILLIAM S director director
Common Stock 21,460 $46.6 $1,000,036 Sale
ARISTEGUIETA FRANCISCO officer: CEO, Asia Pacific officer: CEO, Asia Pacific
Common Stock 2,320 $47.66 $110,576 Purchase
DESOER BARBARA J director director
Common Stock 1,000 $48.19 $48,190 Sale
BIRD STEPHEN officer: CEO, Global Consumer Bank officer: CEO, Global Consumer B..
Common Stock 20,000 $49.06 $981,200 Sale
FORESE JAMES A. officer: President officer: President
Common Stock 69,900 $49.68 $3,472,632 Sale
TAYLOR DIANA L director director
Common Stock 1,637 $50.19 $82,164 Sale
MCQUADE EUGENE M director director
Common Stock 585 $49.71 $29,077 Sale
CALLAHAN DON officer: Head of Operations&Technology officer: Head of Operations&Tec..
Common Stock 45,000 $52.14 $2,346,300 Purchase
MCQUADE EUGENE M director director
Common Stock 585 $49.92 $29,201 Purchase
ONEILL MICHAEL E director director
Common Stock 28,200 $35.52 $1,001,777 Purchase
SPERO JOAN E director director
Common Stock 1,000 $36.07 $36,065 Purchase
THOMPSON WILLIAM S director director
Common Stock 6,850 $36.25 $248,313 Sale
WALSH JEFFREY R officer: Interim Chief Acctng Officer officer: Interim Chief Acctng O..
Common Stock 6,000 $38.42 $230,520 Sale
CALLAHAN DON officer: Head of Operations&Technology officer: Head of Operations&Tec..
Common Stock 15,000 $31.71 $475,650 Sale
HAVENS JOHN P officer: President and COO officer: President and COO
Common Stock 50,000 $33.9 $1,695,050 Sale
HAVENS JOHN P officer: President and COO officer: President and COO
Common Stock 60,000 $30.41 $1,824,720 Sale
CORBAT MICHAEL director, officer: Chief Executive Officer director, officer: Chief Execut..
Common Stock 210,174 $4.78 $1,003,581 Purchase
GRUNDHOFER JERRY A director director
Common Stock 25,000 $4.15 $103,750 Purchase
MEDINA-MORA MANUEL officer: Co-President officer: Co-President
Common Stock 542,198 $4.3 $2,330,367 Purchase
VERME ALBERTO J officer: CEO Europe, MidEast, Africa officer: CEO Europe, MidEast, A..
Common Stock 5,500 $4.25 $23,375 Sale
GERSPACH JOHN C officer: Chief Financial Officer officer: Chief Financial Officer
Common Stock 70,000 $4.03 $282,100 Sale
BIRD STEPHEN officer: CEO, Global Consumer Bank officer: CEO, Global Consumer B..
Common Stock 300,000 $4.07 $1,221,600 Sale
HELFER MICHAEL S officer: General Counsel officer: General Counsel
Common Stock 21,378 $4.12 $88,077 Sale
GRUNDHOFER JERRY A director director
Common Stock 24,789 $4.18 $103,618 Sale
KELLY EDWARD J III officer: Vice Chairman officer: Vice Chairman
Common Stock 100,000 $4.22 $422,300 Sale
WALSH JEFFREY R officer: Interim Chief Acctng Officer officer: Interim Chief Acctng O..
Common Stock 45,000 $4.28 $192,600 Sale
HAVENS JOHN P officer: President and COO officer: President and COO
Common Stock 597,177 $4.68 $2,791,802 Purchase
THOMPSON WILLIAM S director director
Tangible Dividend Enhanced Common Stock (T-DECS) 1,200 $102 $122,400 Purchase
THOMPSON WILLIAM S director director
T-DECS 3,700 N/A N/A Sale
RODIN JUDITH director director
Common Stock 1,854 $3.34 $6,192 Purchase
JOSS ROBERT L director director
Common Stock 17,000 $5.21 $88,570 Purchase
THOMPSON WILLIAM S director director
Common Stock 100,000 $4 $400,000 Purchase
PARSONS RICHARD D director director
Common Stock 15,818 $3.78 $59,713 Purchase
MCQUADE EUGENE M director director
Common Stock 1,000,000 $3.41 $3,410,000 Purchase
MEDINA-MORA MANUEL officer: Co-President officer: Co-President
Common Stock 1,000,000 $3.21 $3,210,000 Purchase
KADEN LEWIS B officer: Vice Chairman officer: Vice Chairman
Common Stock 100,000 $1.26 $126,000 Purchase
MEDINA-MORA MANUEL officer: Co-President officer: Co-President
Common Stock 1,500,000 $1.24 $1,860,000 Purchase
GERSPACH JOHN C officer: Chief Financial Officer officer: Chief Financial Officer
Common Stock 65,000 $1.45 $94,250 Sale
BISCHOFF WINFRIED F W SIR director director
Common Stock 90,423 $1.32 $119,358 Purchase
HERNANDEZ ROBERTO director director
Common Stock 6,000,000 $1.25 $7,500,000 Purchase
APTE SHIRISH officer: CEO, Asia Pacific officer: CEO, Asia Pacific
Common Stock 15,000 $6.89 $103,350 Purchase
PARSONS RICHARD D director director
Common Stock 35,000 $8.15 $285,250 Purchase
KELLY EDWARD J III officer: Vice Chairman officer: Vice Chairman
Common Stock 100,000 $10.02 $1,002,000 Purchase
HAVENS JOHN P officer: President and COO officer: President and COO
Common Stock 250,000 $9.53 $2,381,500 Purchase
RYAN ROBERT L director director
Common Stock 12,500 $8.97 $112,063 Purchase
PANDIT VIKRAM S director, officer: Chief Executive Officer director, officer: Chief Execut..
Common Stock 750,000 $9.3 $6,972,750