INVESTMENT BANKING & BROKERAGE Topic Accounting Metric Category Code Response Employee Diversity & Inclusion Percentage of gender and racial/ethnic group representation for (1) executive management, (2) non-executive management, (3) professionals, and (4) all other employees Quantitative FN-IB- 330a.1 • Diversity, Equity & Inclusion > Representation Goals • Employment Data Incorporation of Environmental, Social, and Governance Factors in Investment Banking & Brokerage Activities Revenue from (1) underwriting, (2) advisory, and (3) securitization transactions incorporating integration of environmental, social, and governance (ESG) factors, by industry Quantitative FN-IB- 410a.1 Citi does not report this information. (1) Number and (2) total value of investments and loans incorporating integration of environmental, social, and governance (ESG) factors, by industry Quantitative FN-IB- 410a.2 • Our $1 Trillion Commitment • Risk Management > ESRM Consultation Data Citi also incorporates environmental and social criteria for transactions that contribute to our $1 trillion sustainable finance commitment . Description of approach to incorporation of environmental, social, and governance (ESG) factors in investment banking and brokerage activities Discussion and Analysis FN-IB- 410a.3 • Risk Management > Environmental and Social Risk Management • Citi’s Environmental and Social Policy Framework Business Ethics Total amount of monetary losses as a result of legal proceedings associated with fraud, insider trading, anti-trust, anti-competitive behavior, market manipulation, malpractice, or other related financial industry laws or regulations Quantitative FN-IB- 510a.1 See response to FN-CB-510a.1. Description of whistleblower policies and procedures Discussion and Analysis FN-IB- 510a.2 See response to FN-CB-510a.2. Professional Integrity (1) Number and (2) percentage of covered employees with a record of investment-related investigations, consumer- initiated complaints, private civil litigations, or other regulatory proceedings Quantitative FN-IB- 510b.1 Citi does not report this information. Number of mediation and arbitration cases associated with professional integrity, including duty of care, by party Quantitative FN-IB- 510b.2 Citi does not report this information. Total amount of monetary losses as a result of legal proceedings associated with professional integrity, including duty of care Quantitative FN-IB- 510b.3 Citi discloses all material legal and regulatory proceedings in its 10- K, including when a suit was filed, the court, the parties involved, the allegations and the relief sought. Citi also discloses information regarding material inquiries or investigations by regulators associated with professional integrity, including duty of care. • 2021 10-K pages 296-303 Description of approach to ensuring professional integrity, including duty of care Discussion and Analysis FN-IB- 510b.4 • Serving Our Customers and Clients Responsibly • Citi Code of Conduct Contents ESGatCiti SustainableFinance SustainableProgress Equitable&ResilientCommunities Talent&DEI RiskManagement&ResponsibleBusiness Appendices ESGS ataC ius niblnG 153