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Item 9B. Other Information

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Item 9B. Other Information

During the three months ended December 31, 2023, certain of our directors and officers adopted or terminated trading arrangements for the sale of shares of our common stock as follows:

Plans
ActionDateRule 10b5-1 (1)Non-Rule 10b5-1 (2)Number of Securities to be SoldLatest Expiration (3)
Jonathan M. Craig, Managing Director and Head of Investor Services and MarketingAdoption10/27/2023x—4,977(4)10/15/2024
Carrie Schwab-Pomerantz, DirectorAdoption11/10/2023x—99,000(5)12/31/2024
Nigel Murtagh, Managing Director and Chief Risk OfficerAdoption11/24/2023x—12,948(4)10/18/2024

(1) Intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

(2) Not intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).

(3) Plans expire at close of trading on the dates presented or such earlier date upon the completion of all trades under the plan (or the expiration of the orders relating to such trades without execution).

(4) Securities to be sold under the plan represent shares to be acquired upon the exercise of stock options. In addition to these shares, the trading arrangement allows for the sale of the net after-tax shares of common stock to be received by the officer upon the March 1, 2024 vesting of performance-based restricted stock units. The actual number of shares that will be released to the officer in connection with the performance-based restricted stock units and sold under the trading arrangement will be net of the number of shares withheld to satisfy tax withholding obligations arising from the vesting of such shares and is not yet determinable.

(5) Includes 39,600 shares to be sold by a trust for which the director’s spouse is a trustee.

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