Itau Unibanco Holding S.A 6-K, filed Feb 11, 2021
Itau Unibanco Holding S.A. (ITUB)
About this 6-K
Itau Unibanco Holding S.A filed this 6-K on February 11, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 6-K
Report of Foreign Issuer
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934
For the month of February, 2021
Commission File Number: 001-15276
Itaú Unibanco Holding S.A.
(Exact name of registrant as specified in its charter)
Itaú Unibanco Holding S.A.
(Translation of Registrant’s Name into English)
Praça Alfredo Egydio de Souza Aranha, 100-Torre Conceicao
CEP 04344-902 São Paulo, SP, Brazil
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.
Form 20-F ☒ Form 40-F ☐
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
Yes ☐ No ☒
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
Yes ☐ No ☒
Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes ☐ No ☒
If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b): 82–
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Date: February 11, 2021.
| Itaú Unibanco Holding S.A | ||||
| By: | /s/ Renato Lulia Jacob | |||
| Name: | Renato Lulia Jacob | |||
| Title: | Group Head of Investor Relations and Market Intelligence | |||
| By: | /s/ Alexsandro Broedel | |||
| Name: | Alexandro Broedel | |||
| Title: | Chief Financial Officer | |||
1
Exhibit 99.1
Itaú Unibanco Holding S.A.
Exhibit 99.1
2019
Reference
Form
Itaú Unibanco Holding S.A. REFERENCE FORM Base Date: 12.31.2019 (in accordance with Attachment 24 to CVM Instruction No. 480 of December 7, 2009 “CVM Instruction No. 480”, as amended) Identification Itaú Unibanco Holding S.A., a corporation enrolled under the National Register of Legal Entities/ Ministry of Finance (CNPJ/MF) under No. 60.872.504/0001-23, with its Articles of Incorporation registered with the Trade Board of the State of São Paulo under NIRE No. 35.3.0001023-0, and registered as a publicly-held company with the Brazilian Securities and Exchange Commission (“CVM”) under No. 19348 (“Bank” or “Issuer”) Head Office The Issuer’s head office is located at Praça Alfredo Egydio de Souza Aranha, 100 - Torre Olavo Setubal, in the City and State of São Paulo, CEP 04344-902. Investor Relations Office The Investor Relations department is located at AvenidaEngenheiro Armando de Arruda Pereira, 707 - Torre EudoroVillela – Térreo, in the City and State of São Paulo. The Group Head of Investor Relations is Mr. Renato Lulia Jacob. The Investor Relations Department’s telephone number is (0xx11) 2794-3547, fax number is +55 11 5019-8717, and email is relacoes.investidores@itau-unibanco.com.br. Independent Auditors Firm PricewaterhouseCoopers AuditoresIndependentes, for the years ended 12/31/2019, 12/31/2018 and 12/31/2017. Bookkeeping Agent Itaú Corretora de Valores S.A. The Issuer’s stockholders’ service is carried out at the branches of Stockholders Service Itaú Unibanco S.A., the head office of which is located at Praça Alfredo Egydio de Souza Aranha, 100 – Torre Olavo Setubal, in the City and State of São Paulo, CEP 04344-902. Official Gazette of the State of São Paulo (DiárioOficial do Estado de São Newspapers from which the Paulo) and O Estado de São Paulo newspaper. Company discloses Information www.itau.com.br/investor-relations. The information included in the Website Company’s website is not an integral part of this Reference Form. Last update of this Reference 02/09/2021 Form
Historical resubmission Version Reasons for resubmission Date of update V2 Update in itens 12.5/6, 12.7/8 and 12.12 07/10/2020 V3 Update in
itens 11.1 and 11.2 08/03/2020 V4 Update in itens 12.5/6, 12.7/8 and 12.12 08/18/2020 V5 Update in itens 12.7/8 and 12.12 08/24/2020 V6 Update in itens 12.5/6 and 12.12 09/04/2020 V7 Update in itens 12.5/6 and 12.12 10/07/2020 V8 Update in itens
12.5/12.6, 12.7/12.8 and 12.12 10/29/2020 V9 Update in itens 5.6, 11.1 and 11.2 11/03/2020 V10 Update in itens 12.5/6 and 12.12 12/03/2020 V11 Update in itens 1.0; 12.5/12.6 and 12.12 12/14/2020 V12 Update in itens 12.5/12.6, 12.7/12.8 and 12.12
01/12/2021 V13 Update in item 18.8 01/19/2021 V14 Update in itens 12.5/12.6, 12.7/12.8, 12.12 and 18.8 01/28/2021 V15 Update in itens 1.1; 1.3; 11; 12.5/12.6, 12.12 and 15.3 02/02/2021 V16 Update in itens 10.3, 15.1/15.2, 15.3, 15.4, 15.8, 17.5,
19.2, 19.3 and 21.3 02/09/2021
10.3. Executive officers should comment on the material effects that may have been caused or are expected to be caused to the Issuer’s
financial statements and their results a) Introduction or disposal of operating segments There was no introduction or sale of the operating segment. The current business segments of Itaú Unibanco are described below: Retail Banking The
segment comprises retail customers, account holders and non-account holders, individuals and legal entities, high income clients (Itaú Uniclass and Personnalité) and the companies segment
(microenterprises and small companies). It includes financing and credit offers made outside the branch network, in addition to credit cards and payroll loans. Wholesale Banking: It comprises products and services offered to middle-market companies,
high net worth clients (Private Banking), and the operation of Latin American units and Itaú BBA, which is the unit responsible for business with large companies and investment banking operations. Trading & Institutional: It
corresponds to the result arising from capital surplus, subordinated debt surplus and the net balance of tax credits and debits. It also includes the financial margin on market trading, treasury operating costs, and equity in earnings of companies
not included in either of the other segments. b) incorporation, acquisition or disposal of ownership interest XP Investimentos S.A. On May 11, 2017, we entered into a Share Purchase Agreement with XP Controle Participações S.A.,
G.A. Brasil IV Fundo de Investimento em Participações, and Dyna III Fundo de Investimento em Participações, among others, as sellers, to acquire 49.9% of the capital stock (corresponding to 30.1% of the common shares) of
XP Investimentos S.A., a holding company that consolidates all the investments of the XP group, including XP Investimentos Corretora de Câmbio, Títulos e Valores Mobiliários S.A. In the first tranche, we contributed to a capital
increase of R$600 million and acquired of XP Investimentos S.A.’s shares from the Sellers for R$5.7 billion, provided that such amounts are subject to contractual adjustments. The value attributed to 100% of the total capital stock of
XP Investimentos S.A. (before the first tranche) was approximately R$12 billion. The first tranche was approved (i) in March 2018, by CADE, and (ii) in August 2018, by the Central Bank. As a condition, we entered into concentration
control agreements (i) with CADE, whereby we undertook, among other obligations (a) if requested, to distribute proprietary investment products through open platforms competing with XP Investimentos S.A. platforms in a non-discriminatory manner; and (b) to not promote the targeting of its customers to XP Investimentos S.A. platforms; and (ii) with the Central Bank, whereby we undertook: (a) not to acquire control of
XP Investimentos S.A. for 8 years counted from the execution of the concentration control agreement; and (b) to cancel our call options and XP Controle’s put options. In August 2018, we closed the First Tranche and, together with some of
the Sellers, entered into a shareholders’ agreement which contains, among others, provisions with respect to our rights as a minority shareholder, including our right to appoint two out of the seven members of the Board of Directors of XP
Investimentos S.A. On November 29, 2019, there was a corporate reorganization of XP Investimentos S.A., in which the shareholders subscribed their respective shares of the holding company XP Inc. (XP INC), keeping the percentages in total
capital. After the initial public offering held on December 11, 2019 at Nasdaq in New York, our ownership interest changed from 49.9% to 46.05%. On November 29, 2019, the shareholders of XP Investimentos S.A., including us, exchanged their
shares of XP Investimentos S.A., incorporated in Brazil, for Class A common shares and Class B common shares of XP Inc., incorporated in the Cayman Islands. Each Class A common share entitles its
holder to one vote and each Class B common share entitles its holder to ten votes in all shareholders’ resolutions of XP Inc.. As
a result of the contribution mentioned above, XP Inc. issued to us 792,861,320 Class A common shares and 223,595,962 Class B common shares, which represent 49.9% of the total capital of XP Inc. and 30.06% of its voting rights. XP Inc.
became the sole shareholder of XP Investimentos S.A., owning 100% of its total and voting capital. Further, the shareholders of XP Inc. entered into a shareholders’ agreement substantially similar to the then existing shareholders’
agreement of XP Investimentos S.A.. XP Inc. has a board of directors comprised of thirteen members, out of which XP Controle Participações S.A. nominated seven, we nominated two, General Atlantic (XP) Bermuda, LP (successor of G.A.
Brasil IV Fundo de Investimento em Participações) nominated one, and the remaining three members are independent directors. Such independent directors are also members of the audit committee of XP Inc., which is comprised of three
members nominated as follows: we nominated two members, and XP Controle Participações S.A. nominated one member of the audit committee. Subsequently, on November 30, 2019, XP Inc. carried out a reverse stock split of one share for
each four shares and, as a result, the number of shares held by us was adjusted to 198,215,329 Class A common shares and 55,898,991 Class B common shares. On November 26, 2020, we announced that the Board of Directors approved the
partial spin-off of the investment in XP INC for a new company (XPart S.A.). On December 2 and 17, 2020, we sold 4.44% and 0.07%, respectively, of our investments in XP INC, through the public offering on
the Nasdaq. Concurrently with the sales, XP INC completed a public offering (follow-on) which resulted in the dilution of the interest held by us, which reached 41.00% of capital. At the Extraordinary
Stockholders’ Meeting held on January 31, 2021, the corporate reorganization was decided in order to segregate the business line related to interest in XP INC’s capital to the new company that will be named XPart S.A., subject to a
favorable opinion from the regulatory authority obtained by the controllers for the completion of the operation. The percentage of XP INC’s capital to be held by XPart S.A. was 40.52%, as of December 31, 2020. After registration as a
publicly-held company and authorization to list securities issued by XPart S.A., the ownership interest on XPart S.A. will be distributed to our shareholders. The shares issued by XPart S.A. will be attributed to our stockholders in the same number,
type and proportion of the shares previously held by them in Itaú Unibanco Holding. Subject to the Central Bank’s approval, in 2022, we expect to acquire an additional stake corresponding to approximately 11.38% of the capital stock of
XP Inc.. The management and conduct of business of all companies within XP group, including XP Inc., remains independent, segregated and autonomous, preserving the same principles and values that are currently in force. XP Controle’s partners
will maintain control of the XP group, and the current directors, officers and executives of XP Investimentos S.A. and other subsidiaries will remain at the forefront of their respective businesses, in order to ensure that XP Investimentos S.A. will
continue to act as an open and independent platform, offering a diversified range of proprietary and third party products to its clients, competing freely with other brokers and capital market distributors, including those controlled by us, without
any restrictions or barriers. ZUP On October 31, 2019, we entered into a Share Purchase Agreement with ZUP LLC, and Bruno Cesar Pierobon, Gustavo Henrique Cunha Debs, Felupe Liguabue Almeida, Flavio Henrique Zago, among others
(“Sellers”), for the acquisition of 100% of the voting share capital of Zup I.T. Serviços em Tecnologia e Inovação Ltda (“Zup”) for R$575 million, and such amount is subject to contractual adjustments.
Such acquisition will be implemented in three tranches over four years. In the first tranche, Itaú will acquire 51.0% of the total
voting share capital of Zup for approximately R$293 million and will control the company. On the third year after the completion of the operation, Itaú will acquire an additional 19.6% stake, and on the fourth year Itaú will
acquire the remaining stockholders’ interest, holding, therefore, 100% of the voting share capital. The operation and management of business affairs of Zup will continue to be totally independent and self-governing in relation to Itaú,
preserving its current principles and values. The completion of this transaction is subject to the approvals from CADE and the Central Bank of Brazil. Initial Public Offering of IRB In July 2017, IRB-Brasil Resseguros S.A.(“IRB”) made an
initial public offering of its common shares, which consisted of a public offering at R$27.24 per share, and a secondary offering by its controlling shareholders of 63,960,000 registered book-entry common shares with no par value to (i) the
public in Brazil, (ii) certain qualified institutional buyers in the United States (as defined in Rule 144A, or Rule 144A, under the U.S. Securities Act of1933, as amended, or the Securities Act), and (iii) institutional and other
investors elsewhere outside the United States and Brazil that are not U.S. persons (as defined in Regulation S under the Securities Act, or Regulation S). As a result of this initial public offering, Itaú Vida e Previdência S.A. sold
677,400 common shares, representing the total interest held by Itaú Vida e Previdência S.A. in IRB’s capital stock, and Itaú Seguros S.A. sold 9,618,600common shares, representing 3.1% of IRB’s capital stock, reducing
its interest in IRB to 11.64% of IRB’s capital stock, remaining among the controlling bloc stockholders pursuant to the company’s stockholders agreement. The proceeds received by Itaú Seguros S.A. and Itaú Vida e
Previdência S.A. in the initial public offering totaled R$280,463,040.00. In accordance with Article 24 of CVM Instruction No. 400, the number of common shares initially offered could be increased by up to 9,594,000 common shares,
representing 15% of the common shares initially offered, if the stabilizing agent (or any person acting on behalf of the stabilizing agent) exercises the over-allotment option. As a result of the full exercise of the over-allotment option by the
stabilizing agent on August 28, 2017, Itaú Seguros S.A. became the owner of 11.14% of IRB’s capital stock. In July 10, 2019, IRB made a secondary offering of its common shares. With the disposal of the total interest held by
the Brazilian Federal Government and BB Seguros in IRB, except for, in relation to the Brazilian Federal Government, by Golden Share, the previously existing controlling bloc was terminated and the capital stock became more diversified. Itaú
CorpBanca In April 2016, we completed the merger between Banco Itaú Chile and CorpBanca and, as a result, we acquired control of the resulting entity – Itaú CorpBanca. On that same date, we entered into a Stockholders’
Agreement of Itaú CorpBanca (“Itaú CorpBanca’s Stockholders’ Agreement”), which entitles us to appoint, together with Corp Group, the former controlling stockholder of CorpBanca, the majority of the members of
Itaú CorpBanca’s Board of Directors. Such members are appointed according to the ownership interest of each of these parties, and we have the right to elect the majority of the members elected by this bloc. Also, on that same date,
Itaú Unibanco consolidated Itaú CorpBanca in its financial statements, adding approximately R$114 billion of assets to its balance sheet. The implementation of these operations was the result of the commitments undertaken through
the Transaction Agreement, entered into with CorpBanca and its controlling stockholders in January 2014 and amended in June 2015. In January 2017, we executed a new amendment to the Transaction Agreement, which provided for (i) postponing the
date of acquisition of shares held by the Corp Group in Banco CorpBanca Colombia S.A.(“CorpBanca Colombia”) from January 29, 2017 to January 28, 2022,
subject to applicable regulatory approvals; (ii) changing the previously defined structure for the combination of operations of
Itaú Unibanco and Itaú CorpBanca in Colombia into a sale and purchase of assets and liabilities, which was completed in April 2017; and (iii) replacing the obligation to consummate an initial public offering (IPO) of CorpBanca
Colombia for the obligation to register CorpBanca Colombia as a public company and list its shares on the Colombian stock exchange. As a result of Corp Group’s exercising put options, as set forth in Itaú CorpBanca’s
Stockholders’ Agreement, we increased our interest on three occasions: (i) in October 2016, we acquired 10.9 billion shares of Itaú CorpBanca for approximately R$288.1 million, increasing our interest to 35.71% from
33.58%; (ii) in September 2017, we acquired 1.8 billion shares of Itaú CorpBanca for approximately R$ 55.6 million, increasing our interest to 36.06% from 35.71%; and (iii) in October 2018, we acquired 10.6 billion shares
of Itaú CorpBanca for approximately R$363 million, increasing our interest to 38.14% from 36.06%. In all cases, Itaú CorpBanca’s governance was not changed. Credit intelligence bureau In January 2016, we announced that our
subsidiary Itaú Unibanco S.A. entered into a non-binding memorandum of understanding (MoU) with Banco Bradesco S.A., Banco do Brasil S.A., Banco Santander (Brazil)S.A. and Caixa Econômica Federal
in order to create a credit intelligence bureau. In November 2016, CADE, the Brazilian antitrust agency, approved the transaction with certain restrictions and, on June 14, 2017, the credit intelligence bureau was incorporated by Itaú
Unibanco S.A., Banco Bradesco S.A., Banco do Brasil S.A., Banco Santander (Brazil) S.A., and Caixa Econômica Federal (through its subsidiary Caixa Participações S.A.). This credit intelligence bureau is structured as a Brazilian
corporation; its control is shared by stockholders holding a 20% equity ownership each. Its board of directors is comprised of members appointed by these stockholders and its executives will be exclusively dedicated to running the business of the
credit intelligence bureau, preserving the independent nature of the bureau’s management. The technical and analytical platform will be developed and implemented through a services agreement with LexisNexis® Risk Solutions FL Inc. Sale of
group life insurance business In September 2016, we entered into an agreement for the sale of our group life insurance operations with Prudential do Brasil Seguros de Vida S.A. The transfer of shares and the financial settlement of this transaction
took place after compliance with certain conditions provided for in the agreement on April 1, 2017. This transaction reinforces our strategy, which has already been disclosed, to focus on mass-market insurance products typically related to
retail banking. Acquisition of Citibank retail business in Brazil In October 2016, we entered into an Equity Interest Purchase Agreement for the acquisition of retail operations carried out by Banco Citibank S.A. and other companies of its
conglomerate in Brazil, including loans, deposits, credit cards, branches, on-shore wealth management and insurance brokerage, as well as the equity investments held by Citibank in TECBAN – Tecnologia
Bancária S.A. and in CIBRASEC – Companhia Brasileira de Securitização. On the contract execution date, Citibank’s retail operations in Brazil (with 71 branches) had approximately 315,000 clients in the retail segment,
approximately 1.1 million credit cards and a loan portfolio of R$ 6 billion. On the base date of December 31, 2015, it had approximately R$35 billion in deposits and assets under management. The estimated impact of this
transaction on Tier I capital would be approximately 40 basis points (using Basel III methodologies). In August 2017, CADE approved the transaction by Itaú Unibanco executing an agreement with
CADE that includes measures to increase banking sector competition. In October 2017, we obtained the final authorization from the Central
Bank of Brazil for said transaction. With these regulatory approvals obtained, the financial settlement of the acquisition of Citibank’s retail operations was carried out on October 31, 2017, when Itaú Unibanco became responsible
for these operations. The financial settlement of the acquisition of operations related to the individuals segment of Citibank Corretora and the corresponding transfer of these operations was carried out on December 1, 2017. The acquisitions of
the equity investments held by Citibank in TECBAN and Cibrasec and the respective financial settlements, in turn, were carried out on December 26, 2017 after the provisions in the respective stockholders’ agreements of these companies were
met. c) Unusual events or operations In addition to the items highlighted in item 10.3 b hereto, we highlight the following unusual events: (i) revaluation of tax credit reserves, which include the annual revaluation of balances and the effects from
the Constitutional Amendment EC No. 103/2019 to the Social Contribution on Net Income (CSLL) rate that increased to 20% from 15%, complying with the provisions of item I, paragraph 1 of Article 1 of Supplementary Law No. 105, of
January 10, 2001, totaling R$2,024 and (ii) the effect of the Voluntary Severance Program, with the adherence of approximately 3,500 employees, the net effect of which was R$1,431. The objectives of the program are: (i) to provide a
secure and voluntary career transition opportunity for those interested in leaving the bank, benefiting employees who meet several established prerequisites and (ii) to adjust our structures to market reality. In 2018 and 2017, there were no
relevant unusual events.
15.1 / 15.2 - Stockholding position Stockholder CPF/CNPJ Nationality-state Party Stockholders’ Agreement to Controlling stockholder
Last change Stockholder abroad resident Name of Legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common % shares Number of shares (Units) preferred Preffered shares % Total number of shares (units) Total
shares % Details by class of shares (units) Class of share shares % Ituasa - Investimentos Itaú S.A. 61.532.644/0001-15 Brazilian- SP Yes Yes 11/26/2018 No 1,943,906,577 39.205000 169,323 0.003000
1,944,075,900 00% 19,8290 Class of share Number of shares (units) Shares % TOTAL 0 0.000000% Blackrock, INC American No No 11/26/2018 No 0 0.000000 3,569000 349,925.097 7.221000 349,925,097 3.569 Class of share Number of shares (units)
Shares % TOTAL 0 0.000000% 305
IUPAR - Itaú Unibanco Participacoes S.A. 04.676.564/0001-08
Brazilian-SP Yes Yes 11/26/2018 No 2,564,084,404 51.713000% 0 0.000000% 2,564,084,404 26.153000% OTHERS 450,299,378 9.082% 4,454,484,263 91.924% 4,904,783,641 50,028% Class of share Number of shares
(units) shares% Total 0 0.000000% 306
15.1 / 15.2 – Stockholding position stockholder CPF/CNPJ Nationality-State Agreement Party to Stockholders’ Controlling
stockholder Last change Stockholder abroad resident Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares Common shares % (units) Number of preferred shares (units) Preferred shares % Total number of shares
(Units) Total shares % Details by class of shares (Units) Class of share Number of shares (Units) Shares % TREASURY SHARES – Date of last change: 01/31/2021 0 0.000000% 41,266,306 0.852% 41,266,306 0.421% Class of share Number of shares
(units) Shares % TOTAL 0 0.000000% TOTAL 4,958.290.359 100.000000% 4,845.844.989 100.000000% 9,804.135.348 100.000000% 307
15.1 / 15.2— Stockholding position PARENT COMPANY/ INVESTING COMPANY
STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change
Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ
Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares
% PARENT COMPANY/INVESTING COMPANY CPF?CNPJ Composition capital stock Itausa— Investimentos Itaú S.A. 61.532.644/0001-15 TREASURY SHARES YES YES No 0 0.000000 3,500.000 0.063000 3,500.000 0,042000
Class of share Number of shares (units) Shares % 0 0 0.000000 Alfredo Egydio Arruda Villela Filho 066.530.838-88 Brazilian-SP Yes Yes 10/30/2018 No
366,597,129 12.686000 228,938,402 4.147000 595,535,531 7,081000 Class of share Number of shares (units) Shares % TOTAL 0 0.000000 308
407.919.70 8-09 Brazilian-SP Yes Yes 10/30/2018
No
2,067 0.001000 206 0.0010 2,273 0,0010
Class of share Number of shares % TOTAL 0 0.000000 PAREBT COMPANY / INVESTING COMPANY CPF/CNPJ Composition capital stock Ituasa – Investimentos Itaú S.A. 61.532.644/0001-15 Alfredo Egydio Setubal 014.414.218-07 Brazilian- Yes Yes 12/31/2019 SP No 102,719,174 3.554000 40,915,446 0.741000 143,634,620 1,708000 class of share
Number of share (units) shares% TOTAL 0 0.0000 00 309
Ana Lucida de Mattos Barretto Villela 066.530.828-06
Brazilian-SP Yes No 366,597,103 1.686000 214,443,608 Class of share Number of shares( Units) Shares % TOTAL 0 0.000000
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders” Agreement CONTROLLING STOCKHOLDER Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares( Units) Common shares%
Number of preferred shares (Units) Preferred shares% Total NUMBER OF SHARES( Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itaúsa – Investment Itaú S.A. 61.532.644/0001-16 Beatriz de mattos Setubal da Fonseca 316.394.318-70 Brazilian-SP Yes Yes 03/31/2019 No 3,963,896 0.137000 281,671
0.005000 4,245,567 0,050000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 BlackRock, INC No American No No 10/30/2018
0 0.000000 229,620,576 4.159000 229,620,576 2,730000 Others 279.397.921 9,659 4.149.454.779 75,151 4.428.852.700 52,653 TOTAL 2.889.837.770
100,000 5.520.977.160 100,000 8.410.814.930 100,000
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholder”
Agreement CONTROLLING STOCKHOLDER Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares( Units) Common shares% Number of preferred
shares (Units) Preferred shares % Total NUMBER OF SHARES( Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itaúsa – Investment Itaú S.A.
61.532.644/0001-16 Bruno Rizzo Setubal 299.133.368-56 Brazilian-SP Yes Yes 12/31/2019 No 8,002,067 0.277000 206 0.001000
8,002,273 0.095000 Class of shares Number of shares (Units) Shares % TOTAL 0 0.000000 Camila Setubal Lenz Cesar 350.572.098-41 Brazilian-SP Yes Yes 03/31/2019 No
8,002,068 0.277000 2,399 0.001000 8,004,467 0.095000
Class of share Number of shares( Units) Shares % TOTAL 0 0.000000 Carolina Marinho Lutz Setubal
0.77.540.228-18 Brazilian-SP Yes Yes 12/31/2019 No 20,002,067 0.692000 5,000,206 0.091000 25,002,273 0.297 Class of share Number of shares( Units) Shares % TOTAL 0
0.000000
15.1/15.2 – Stockholding position
PARENT COMPANY/
INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name
of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares %
PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itausa – Investimentos Itau 61.532.644/0001-15
Companhia ESA
52.117.397/0001-08 Brazilian-SP Yes Yes 10/30/2018
No
30,285,876 1.048000 3,071,221 0.0560
00
33,357,097 0,397000
Class of share Number of Shares (Units) Shares %
TOTAL 0 0.000000
Fernando Setubal Souza e Silva
311.798.878-59 Brazilian-SP Yes Yes 12/31/2019 No 15.571.626 0.539 410,206 0.007000 15,981,832
0.1900Class of shares Number of shares (units) Shares%315
TOTAL 0 0.000000
Fundacao
Antonio e Helena Zerrenner Instituicao Nacional de Beneficencia
60.480.480/00 01-67 Brazilian-
SP
No No 12/31/2019
No
444,274,541 15.37400 75,567,917 1,369% 519,842,458 6.181%
Class of share Number of Shares (Units) Shares %316
15.1/15.2 – Stockholding position
PARENT
COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident
abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units)
Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itausa – Investimentos Itau 61.532.644/0001-15
Fundacao Itau Social
59.573.030/0001-30 Brazilian-SP No No 10/30/2018
No
337,678,958 11.685000 41,473
,312
0.7510
00
379,152,270 4,506000
Class of share Number of Shares (Units) Shares%
TOTAL 0 0.000000
Gabriel de Mattos Settubal
348.338.808-73 Brazilian-
SP
Yes Yes 12/31/2019
No
3,963,896 0.197000 281,671 0.005000 4,245,567 0.050000
Class of share Number of Shares
(Units) Shares%317
TOTAL 0 0.000000
Guilherme Setubal Souza e Silva
269.253.728-92 Brazilian-SP Yes Yes 05/31/2019 No 15,571,733 0.539 198,908 0.00400
15,778,841 0,1280
Class of share Number of Shares (Units) Shares%318
15.1/15.2 – Stockholding position
PARENT
COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident
abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units)
Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itausa – Investimentos Itaú 61.532.644/0001-15
Jose Luiz Egydio Setubal
011.785.508-18 Brazilian-SP Yes Yes 12/31/2019 No 90,784,884 3.142000 39,167,115 0.709000 129,951,999 1.545000
Class of share Number of
Shares (Units) Shares %
TOTAL 0 0.000000
Julia Guidon Setubal Winandy
336.694.358-08 Brazilian-SP Yes Yes 12/31/2019 No 20,002,067 0.692000 5.000.206
0.091000 25,002,273 0.297000 class of share Number of shares (units) Shares % 319
Class of share Number of Shares (Units) Shares%
TOTAL 0 0.000000 Luiza Rizzo Setubal Kairalla323.461.948-40
Brazilian-SP Yes Yes 03/31/2019 No 8,002,071 0.277000 9,147 0.001000 8,011,218 0.095000 Class of Share Number of Shares (Units) Shares%320
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock Itaúsa S.A. – Investimentos Itaú 61.532.644/00 01-15 Marcelo Setubal Ribeiro do Valle 230.936.378-21 Brazilian-SP Yes Yes 10/30/2018 No 2,099 0.001000 52,871 0.0010 54,970 0.001000
00 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Maria Alice Setubal 570.405.40 Brazilian- Yes Yes 12/31/2019 8-00 SP No 16,917,351 0.585000 45.806.071 0.803000 62,723,422 0.746000
Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 Mariana Lucas Setubal 227.809.99 Brazilian- Yes Yes 10/30/2018 8-10 SP No 321
2,067 0.001000 206 0.0010 2,273 0.0010 00 00 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 322
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock Itausa – investimentos Itaú 61.532.644/00 01-15 S.A. Marina
Nugent Setubal 384.422.518-80 Brazilian-SP Yes Yes 10/30/2018 No 2,067 0.001000 206 0.0010 2,273 0.001000 00 Class of share Number of shares (Units) Shares % TOTAL
0 0.000000 O.E. Setubal S.A. 61.074.456/00 Brazilian- Ye Yes 12/31/2019 01-90 SP s No 6 0.001000 8 14 0.001 0.001 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Olavo Egydio Mutarelli
Setubal 394.635.34 Brazilian- Yes Yes 03/31/2019 8-73 SP No 3,963,896 0.137000 281,671 0.005000 4,245,567 0.050000 323
7 00 Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 324
15.1/15.2-Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares %Total number of shares (Units) Total shares % PARENT COMPANY/INVESTING COMPANY CPF/CNPJ Composition of capital stock
Itaúsa-investimentos itaú S.A. 61.532.644/0001-15 Olavo junior egydio Setubal 006.447.048-29 Brazilian-SP Yes Yes 12/31/2019 No 79,593,567 2.754000 41,983,253 0.760000 121,576,820 1.445000 Class of share Number of shares (Units) Shares% TOTAL 0 0.0000 OTHERS 279,397,921 9.659000 4,149,454,799 75,150
4,428,852,700 52,652 Patricia Ribeiro do Valle Setubal 230.936.328-62 Brazilian-SP Yes Yes 10/30/2018 No 2,0990.001000 52,871 0.00100054,970 0.001000 Class of share
Number of shares(Units)Shares% TOTAL 0 0.000000 324
Paula lucas Setubal 295.243.528-69 Brazilian-SP Yes Yes
10/30/2018 No 2,0670.001000 2060.0010002,2730.001000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 325
15.1/15.2-Stockholding position PARENT COMPANY/ INVESTING COMPANYSTOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroadDetails by class of shares (Units) Name of legal or mandatory representativeType of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock
Itaúsa-Investimentos Itaú S.A. Paulo Egydio Setubal 336.694.318-10 Brazilian-SP Yes Yes 10/30/2018 No 20,002,067
0,692000 5,00,206 0.091000 25,002,273 0.297000 Class of share Number of shares(Units) Shares% TOTAL 0 0.000000 Paulo Setubal Neto 638.097.88 8-72 Brazilian- SP Yes Yes No 57,031,323 1.974 25,358,9 0.459 82,390,258 0.980000 Class of share
Number of shares(Units) Shares% 326
TOTAL 0 0.000000 Ricardo Egydio Setubal 033.033.518-99Brazilian-SPYes Yes 12/31/2019 No 102,672,130
3.553000 42,007,814 0.761000 144.679.944 1,720000 Class of share Number of share(units)Shares% TOTAL 0 0.000000 327
15.1/15.2 Stockholding position PARENT COMPANY/ INVESTING COMPANYSTOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroadDetails by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itaúsa-Investimentos Itaú
S.A.61.532.644/0001-15 Ricardo Villela Marino 252.398.288-90 Brazilian-SP Yes Yes 12/31/2019 No 65,012,941 2.250000 48,397,198
0.877000 113,410,139 1,348000 Class of share Number of shares(units) shares% TOTAL 0 0.000000 Roberto Egydio Setubal 007.738.228-52Brazilian-SPYes Yes 12/31/2018 No 103,192,39 3.571000 38,766,895 0.702000
141,959,290 1,688000 Class of share Number of shares (Units)Shares% 328
TOTAL 0 0.000000 Rodolfo Villela Marino 271.943.018-81 Brazilian-SP Yes Yes 10/30/2018 No 65,067,408 2.252000 48,486,607 0.878000 113,554,015 1,350000 Class of share TOTAL 0 Number of shares (units) 0 Shares % 0.000000 329
15.1/15.2-Stockholding position PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Itaúsa Investimentos Itaú S.A. 61.532.644/0001-15 Rodrigo Setubal Ribeiro do Valle 230.936.298-02 Brazilian-SP Yes Yes 10/30/2018 No 2,099 0.001000 52,871 0.001000 54,970 0.001000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Rudric ITH S.A. 67.569.061/0001-45 Brazilian-SP Yes Yes 10/30/2018 No 239,380,982 8.284000 189,836,542 3.438000 429,217,524 5.103000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Tide Setubal Souza e Silva Nogueira 296.682.978-81 Brazilian-SP Yes Yes 12/31/2019 No 15,572,062 0.539000 1,055,527 0.019000 16,627,589 0.198000 330
0 00 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 TOTAL 2,889,837,770 100.000 5,520,977,160 100.000 8,410,814,930 100.000 331
15.1/15.2-Stockholding postion PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock IUPAR – Itaú Unibanco Participações S.A. 04.676.564/0001-08 Cia. E. Johnston de Participações 04.679.283/0001-09 Brazilian-SP Yes Yes Class of share (Units) Number of shares Shares % TOTAL 0 0.000000 Brazilian-SP Yes Yes No Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 OTHERS 0 0.000000 0 0.000000 0 0.000000 334
710,454,184 100.000000 350,942,273 100.000000 1,061,396,457 100.000000 333
15.1/15.2-Stockholding postion PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Compositon of capital stock Cia E. Johnston de participacoes 04.679.283/0001-09 Fernando Roberto Moreira Salles 002.938.068-53 Brazillian-SP Yes Yes 04/29/2016 No 1,380 25,000000 2,760 25,000000 4.410 25,000000 Class of shares
Number of shares (units) Shares% TOTAL 0 0.000000 Joao Moreira Salles 667.197.397-00 Brazillian-SP Yes Yes 04/29/2016 No 1,380 25,000000 2,760 25,000000 4.410 25,000000 Class of shares Number of shares
(units) Shares% TOTAL 0 0.000000 OTHERS 0 0 0.000000 0 0 0.000000 0 0 0.000000 334
Pedro Moreira Salles Brazillian-SP Yes Yes 04/29/2016 No 1,380 25,000000 2,760 25,000000 4.410 25,000000 Class of shares Number of
shares (units) Shares% TOTAL 0 0.000000 335
15.1/15.2-Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Compositon of capital stock Cia E. Johnston de participacoes 04.679.283/0001-09 TOTAL 5,52 100,000000 11,040 100.000000 16.560 100.000000 Walther Moreira Salles Junior 406.935.467-00 Brazillian-SP Yes Yes 04/29/2016 No 1,380 25,000000
2,760 25,000000 4.410 25,000000 Class of shares Number of shares (units) Shares% TOTAL 0 0.000000 336
15.1/15.2-Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Companhia ESA
52.11.70397/0001-08 Alfredo Egydio Arruda Villela Filho 066.530.838-88 Brazillian-SP Yes Yes 10/01/2018 No 366,597129 20.387000 0 0.000000 366,597,129 20.387000
Class of shares Number of shares (units) Shares% 337
TOTAL 0 0.000000 Alfredo Egydio Nugent Setubal 407.919.708-09 Brazillian-SP Yes Yes 10/01/2020 No
2.067 0.001000 0 0.000000 2,067 0.001000 Class of shares Number of shares (units) Shares% TOTAL 0 0.000000 Alfredo Egydio Setubal 014.414.218-07 Brazillian-SP Yes Yes 10/01/2018 No 102,719,174 5.712000 0
0.000000 102,719,174 5,712000 Class of shares Number of shares (units) Shares% 338
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/CPF/CNPJ Composition of capital stock INVESTING COMPANY Companhia ESA 52.117.397/00 01-08 Ana
Lucia de Mattos Barretto Villela 066.530.828-06 Brazilian-SP Yes Yes 10/01/2018 No 366,597,103 20.382 0 0.0000 366,597,103 20.382 00 Class of share Number of
shares(units) shares% TOTAL 0 0.000000 Beatriz de Mattos Setubal 316.394.318-70 Brazilian-SP Yes Yes 12/18/20 18 No 3,963,896 0.220000 0 0.000000 3,963,896 0.220000 339
Class of share Number of shares (units) Shares % TOTAL 0 0.000000 Bruno Rizzo Setubal 299.133.36 Brazilian-Yes Yes 11/09/20 8-56 SP 17 No 8,002,067 0.455000 0 0.0000 8,002,067 0.001000 00 Class of share Number of shares(units) shares% 340
15.1 / 15.2 - Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/CPF/CNPJ Composition of capital stock INVESTING COMPANY Companhia ESA 52.117.397/00 01-08 Camila Setubal Lenz
Cesar 350.572.098-41 Brazilian-SP Yes Yes 12/18/2018 No 8,002,068 0.445 0 0.000000 8,002,068 0.445 Class of share Number of shares (units) Shares % TOTAL 0 0.000000
Carolina Marinho Lutz Setubal 077.540.22 Brazilian- Yes Yes 12/31/2019 8-18 SP No 20,002,067 1.112000 0 0.000000 20,002,067 1.112000 Class of share Number of shares (units) Shares % 341
TOTAL 0 0.000000 Fernanado Setubal Souza e Silva 311.798.878-59
Brazilian-SP Yes Yes 10/01/2018 No 15,571,626 0.866 0 0.000000 15,571,626 0.866 342
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares %
Number of preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Companhia ESA 52.117.397/0001-08 Gabriel de Mattos Setubal 348.338.808-73 Brazilian-SP Yes Yes
12/18/2018 No 3,963,896 0.220000 0 0.000000 3,963,896 0.220000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Guilherme Setubal Souza e Silva 269.253.728-92 Brazilian-SP Yes Yes 12/31/2019 No 15,571,73 0.866000 0 0.000000
15,571,733 0.866 Class of share Number of share (Units) Shares % 343
TOTAL 0 0.000000 Jose Luiz Egydio.Setubal
011.785.508-18 Brazilian-SP Yes Yes 12/31/2019
No
90,784,884 5.049000 0 0.000000 90,784,884 5.049000 344
15.1/15.2-Stockholding postion
PARENT COMPANY/ INVESTING COMPANY
STOCKHOLDER
CPF/CNPJ Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change
Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ
Details by class of shares (Units)
Number of common shares (Units) Common shares % Number of
preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares %
PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock
Companhia ESA 52.177.397/00 01-08
Julia Guidon Setubal Winandy
336.694.358-08 Brazilian-SP Yes Yes 10/01/2018
No
20,002,067 1.112000 0 0.0000 00 20,002,067 1.112000
Class of share Number of shares (units) Shares%
TOTAL 0 0.000000
Luiza Rizzo Setubal Kairalla
323.461.948-40 Brazilian-SP Yes Yes 12/18/2018
No
8,002,071 0.445000 0 0.000000 8,002,071 0.445 345
Class of share Number of share (Units) Shares%
TOTAL 0 0.000000
Marcelo Ribeiro d Valle Setubal
230.936.378-21 Brazilian-SP Yes Yes 10/01/2018
No
2,099 0.001000 0 0.000000 2,099 0.001000 346
15.1/15.2-Stockholding position
PARENT COMPANY/ INVESTING COMPANY
STOCKHOLDER
CPF/CNPJ Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change
Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ
Details by class of shares (Units)
Number of common shares (Units) Common shares % Number of
preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares %
PARENT COMPANY /INVESTING COMPANY CPF/CNPJ Composition of capital stock
Companhia ESA 52.117.397/0001-08
Maria Alice Setubal
570.405.408-00 Brazilian-SP Yes Yes 12/31/2019
No
16,917,351 0.941000 0 0.000000 16,917,351 0.941000
Class of share Number
of share (units) shares%
TOTAL 0 0.000000
Mariana Lucas Setubal
227.809.998-10 Brazilian-SP Yes Yes 10/01/2018
No
2,067 0.001000 0 0.000000 2,067 0.001000
Class of share Number of Shares (Units) Shares% 347
TOTAL 0 0.000000
Marina Nugent Setubal
384.422.518-80 Brazilian-SP Yes Yes 10/01/2018
No
2,067 0.001000 0 0.000000 2,067 0.001000
Class of Share Number of shares (Units) Shares % 348
15.1/15.2-Stockholding postion PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Compositon of capital stock Companhina ESA
52.117.397/0001-08 O.E.Setubal S.A. 61.074.456/0001-90 Brazillian-SP Yes Yes 10/01/2017 No 6 0.001000 0 0.000000 6 0.001000 Class of shares Number of shares (units)
Shares% TOTAL 0 0.000000 Olavo Egydio Mutarelli setubal 394.635.34 Brazillian-SP Yes Yes 10/01/2019 No 3,963,896 0.220000 0.000000 3,963,896 0.220000 Class of shares Number of shares (units) Shares% TOTAL 0 0.000000 Olavo Egydio Setubal Junior
006.447.04 Brazillian-SP Yes Yes 10/01/2019 No 349
79,593,567 4,426000 0 0.000000 79,593,567 4,426000 Class of shares Number of shares (units) Shares% TOTAL 0 0.000000 OTHERS 0 0.000000
0 0.000000 0 0.000000 350
15.1/15. 2- Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Companhia ESA 52.117.397/0001-08 Patricia Ribeiro do
Valle Setubal 230.936.328-62 Brazilian-SP Yes Yes 12/31/2019 No 2,099 0.001000 0 0.000000 2,099 0.001000 Class of shares Number of shares (units) Shares% TOTAL 0
0.000000 Paula Lucas Setubal 295.243.528-69 Brazilian-SP Yes Yes 10/01/2018 No 2,067 0.001000 0 0.000000 2,067 0.001000 351
Class of shares Number of shares (units) Shares% TOTAL 0 0.000000 Paulo Egydio Setubal
336.694.318-10 Brazilian-SP Yes Yes 12/31/2019 No 20,002,067 1.112000 0 0.000000 20,002,067 1.112000 352
15.1/15.2-Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Compositon of capital stock Companhina ESA
52.117.397/0001-08 Paulo Setubal Neto 638.097.888-72 Brazilian-SP Yes Yes 12/31/2019 No 57,031,323 3.172000 0 0.0000 00
57,031,323 3.172000 class of shares (Units) shares % TOTAL 0 0.000000 Ricardo Egydio Setubal 033.033.51 8-99 Brazilian-SP Yes Yes 12/31/2019 No 102,672,13 0 5.710000 0
0.000000 102,673,130 5.710000 Class of share Number of shares (Units) Shares % 353
TOTAL 0 0.000000 Ricardo Villela Marino252.398.28 Brazilian- Ye Yes 10/01/20 8-90 SP s 18 No
65,012,941 3.615000 0 0.0000 65,012,9 3.6150 00 41 00 Class of share Number of shares (Units) Shares %354
15.1 / 15.2 - Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Companhia ESA 52.117.397/00 01-08 Roberto Egydio Setubal
007.738.228-52 Brazilian-SP Yes Yes 10/01/2018 No 103,192,395 5.73900 0 0.0000 103,192,395 5.73900 00 Class of share Number of shares (Units) Shares % TOTAL 0
0.000000 Rodolfo Villela Marino 271.943.01 Brazilian- Yes Yes 10/01/20 8-81 SP s 18 No 65,067,408 3.618000 0 0.0000 65,067,4 3.6180 00 08 00 Class of share Number of shares (Units) Shares %
TOTAL 0 0.000000 Rodrigo Ribeiro do Valle Setubal 230.936.29 Brazilian- Yes Yes 10/01/20 8-02 SP s
18 No 2,099 0.001000 0 0.0000 2,099 0.0010 00 00 356
15.1/15.2-Stockholding postion PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Companhia ESA 52.117.397/0001-08 Rudric ITH S.A. 67.569.061/0001-45 Brazilian-SP Yes Yes
10/01/2018 No 239,380,982 13.312000 0 0.000000 239,380,982 13.312000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Tide Setubal Souza e Silva Nogueira 296.682.978-81 Brazilian-SP Yes Yes 10/01/2018 No 15.572.062 0.866000 0
0.000000 15.572.062 0.866 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 TOTAL 1,798,200,474 100.000000 0 0.000000 1,798,200,474 100.000000 357
15.1/15.2-Stockholding postion PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ
Nationality-State Party to Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Details by class of shares (Units) Name of legal or mandatory representative Type of stockholder CPF/CNPJ Number of common shares
(Units) Common shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock O. E. Setubal S.A.
61.074.456/0001-90 Alfredo Egydio Setubal 014.414.218-07 Brazilian-SP Yes Yes 04/30/2013 No 100,000 14.285000 0 0.000000 100,000
14.285000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 José Luiz Egydio Setubal 011.785.508-18 Brazilian-SP Yes Yes 04/30/2013 No
100,000 14.285000 0 0.000000 100,000 14.285000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 Maria Alice Setubal 570.405.408-00 Brazilian-SP Yes
Yes 04/30/2013 No 100,000 14.285000 0 0.000000 100,000 14.285000 358
Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 359
15.1 / 15.2 - Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock O.E.Setubal S.A61.074.456/00 01-90 Olavo junior egydio
setubal 006.447.048-29 Brazilian-SP Yes Yes 04/30/2013 No 100,000 14.285000 0 0.0000 100,000 14.285000 00 Class of share Number of shares (Units) Shares % TOTAL 0
0.000000 OTHERS 0 0.000000 0 0.0000 0 0.0000 00 00 Paulo Setubal Neto 638.097.888-72Brazilian-SP Yes Yes 04/30/2 013 No 100,000 14.285000 0 0.0000 100,000 14.285 00 000
Class of share Number of shares (Units) Shares % TOTAL 0 0.000000 360 36
Ricardo egydio setubal 033.033.518-99Brazilian-SP Yes Yes
04/30/2 013 No 102.672.130 14.285000 0 0.0000 100,000 14.285 00 000 Class of share Number of shares (Units) Shares % TOTAL 0 0.000000
15.1 / 15.2 - Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock O.E.Setubal S.A 61.074.456/00 01-90 Roberto Egydio
Setubal 007.738.228-52 Brazilian-SP Yes Yes 04/30/2013 No 100,000 14.285000 0 0.0000 100,000 14.285000 00 Class of share Number of shares (Units) Shares % TOTAL 0
0.000000 TOTAL 700,0 100.000 0 0.0000 700,0 100.000 00 000 00 00 000 362
15.1 / 15.2—stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholders’
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Rudric ITH S.A. 67.569.061/0001-45 Maria de Lourdes
Egydio Villela 007.446.978-91 Brazilian-SP Yes Yes 10/18/2018 No 2 0.002 0 0.0000 2 0.002 00 Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 OTHERS
0 0.000000 0 0.0000 0 0.0000 00 00 Ricardo Villela Marino 252.398.288-90 Brazilian-SP Yes Yes 10/18/2018 No 410,823,951 49.999 0 0.0000 410,823,951 49.999 00
Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 363
Rodolfo Villela Marino 271.943.018-81 Brazilian-SP Yes Yes
10/18/2018 No 410,823,951 49.999 0 0.0000 410,823,951 49.999 00 Class of share Number of shares (Units) TOTAL 0 0.000000 364
15.1 / 15.2 – stockholding position PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State
Agreement Party to Stockholders’ Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common
shares % Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock 67.569.061/0001-45 TOTAL
821,647, 100.000 0 0.000000 821,647, 100.000 904 000 904 000 365
15.1 / 15. 2 - Stockholding position PARENT COMPANY / INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Agreement Party to
Stockholder’s Controlling stockholder Last change Stockholder abroad resident Name of legal or mandatory representative Type of stockholder CPF/CNPJ details of shares (units) Number of common shares (Units) Common shares % shares (Units) Number
of preferred preferred shares % Total number of shares (Units) CPF/CNPJ Total shares % Composition of PARENT COMPANY / INVESTING COMPANY capital stock Itaúsa – Investimentos Itaú S.A.
61.532.644/0001-15 OTHERS 2,889,837,770 100.000000 5,520,977,160 100.000000 8,410,814,930 100.000000 2,889,837,770 100.000 5,520,977,160 100.000 8,410,814,930 100.000 366
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares(Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock O. E. Setubal S.A 61.074.456/00 01-90
Alfredo Egydio Setubal 014.414.218-07 Brazilian-SP Yes Yes 04/30/2013 No 100,000 14.285000 0 0.0000 100,000 14.285000 00 Class of share Number of shares (Units)
Shares % TOTA 0 0.000000 Jose Luiz Egydio Setubal 011.785.50 Brazilian- Ye Yes 04/30/2 8-18 SP s 013 No 100,000 14.28500 0 0.0000 100,000 14.285 0 00 000 Class of share Number of shares(Units) Shares %
TOTAL 0 0.000000 Maria Alice Setubal 570.405.40 Brazilian- Yes Yes 04/30/2 8-00 SP 013 No 367
100,000 14.28500 0 0.0000 100,000 14.285 0 00 000 Class of share Number of shares(Units) Shares % TOTAL0 0.000000 368
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares(Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock O. E. Setubal S.A. 61.074.456/00
01-90 Olavo Junior Egydio Setubal 006.447.048-29 Brazilian-SP Yes Yes 04/30/2013 100,000 14.285000 0 0.0000 100,000 14.285000 00
Class of Share Number of Shares(Units) Shares % TOTAL00.000000 OTHERS 0 0.000000 0 0.0000 0 0.0000 00 00 Paulo Setubal Neto 638.097.888-72Brazilian-SP Yes Yes
04/30/2013 No 100,000 14.285000 0 0.0000 100,000 14.285 00 000 Class of Share Number of Shares(Units) Shares % TOTAL 0 0.000000 369
Ricardo Egydio Setubal 033.033.518-99Brazilian-SP Yes Yes
04/30/2013 No 100,000 14.285000 0 0.0000 100,000 14.285 00 000 Class of Share Number of Shares(Units) Shares % TOTAL 0 0.000000 370
15.1 / 15.2 – Stockholding position PARENT COMPANY/ INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to
Stockholders’ Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares(Units) Number of common shares (Units) Common shares %
Number of preferred shares (Units) Preferred shares % Total number of shares (Units) Total shares % PARENT COMPANY/ INVESTING COMPANY CPF/CNPJ Composition of capital stock O. E. Setubal S.A. 61.074.456/00
01-90 Roberto Egydio Setubal 007.738.228-52 Brazilian-SP Yes Yes 04/30/2013 100,000 14.285000 0 0.0000 100,000 14.285000 00
Class of Share Number of Shares(Units) Shares % TOTAL00.000000 700,0 100.000 0 0.0000 700,0 100.000 00 000 00 00 000
15.1 / 15.2 – Stockholding position PARENT COMPANY/INVESTING COMPANY STOCKHOLDER CPF/CNPJ Nationality-State Party to Stockholder’s
Agreement Controlling stockholder Last change Stockholder resident abroad Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details by class of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares% Total number of shares (Units) Total shares% PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Rudric ITH Participacoes Ltda. 67.569.061/00 01-45 Maria
de Lourdes Egydio Villela 007.446.978-91 Brazilian-SP Yes Yes 10/18/2018 No 2 0.002 0 0.0000 2 0.002 00
Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 OTHERS 0 0.00000 0 0.0000 0 0.0000 00 00 Ricardo Villela Marino
252.398.288-90 Brazilian-SP Yes Yes 10/18/2018 No 410,823,951 49,999,00 Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 372
Rodolfo Villela Marino 271.943.018-81 Brazilian-SP Yes Yes
10/18/2018 No 410,823,951 49.999 0 0.0000 410,823,951 Class of share Number of shares (Units) Shares% TOTAL 0 0.000000 373
15.1/15.2 – Stockholding position PARENT COMPANY/INVESTING COMPANY STOCKHOLDER CPF/CNPJNationality-State Agreement Party to
Stockholder’s Controlling stockholder Last change Stockholder abroad resident Name of legal or mandatory representative Type of stockholder CPF/CNPJ Details of shares (Units) Number of common shares (Units) Common shares % Number of preferred
shares (Units) Preferred shares% Total number of shares (Units) Total shares% PARENT COMPANY / INVESTING COMPANY CPF/CNPJ Composition of capital stock Rudric ITH S.A. 67.569.061/0001-45
TOTAL 821,647, 100.000 0 0.000000 821,647 100.000 904 000 0 ,904 000 374
15.3. – Distribution of Capital Date of last general stockholders’ meeting/ Date of last update 01.31.2021 Number of stockholders
– individuals (units) 462,711 Number of stockholders – companies (units) 11,268 Number of institutional investors (units) 1,506 Outstanding shares Outstanding shares correspond to the Issuer’s total shares, except for those held by
the parent company, the people related to the latter, the Issuer’s management members, and treasury shares. Number of common shares (units) 384,789,136 7.760% Number of preferred shares (unit) 4,770,095,054 98.437% Total 5,154,884,190 52.579%
15.4. Please insert a flowchart of the issuer’s stockholders and the economic group in which the issuer is included, identifying: a) all direct and indirect controlling stockholders, and, should the issuer wish, stockholders owning an interest
equal to or higher than 5% of a class or type of shares
(Graphics appears here)
(1) Date: 12.31.2021. (2) Date: 12.31.2020. The percentages do not include treasury shares (*) In addition to treasury shares, percentages do not include the interest held by controlling stockholders. (3) Date: 12.31.2019. Direct and indirect subsidiaries a) Direct and indirect controlling stockholders Direct controlling stockholders Itaúsa - Investimentos Itaú S.A. IUPAR - Itaú Unibanco Participações S.A. indirect controlling stockholders Alfredo Egydio Arruda Villela Filho Alfredo Egydio Nugent Setubal Alfredo Egydio Setubal Ana Lúcia de Mattos Barretto Villela Beatriz de Mattos Setubal da Fonseca Bruno Rizzo Setubal Camila Setubal Lenz Cesar Carolina Marinho Lutz Setubal Cia. E.Jonhston de Participações Companhia ESA Fernando Roberto Moreira Salles Fernando Setubal Souza e Silva Gabriel de Mattos Setubal Guilherme Setubal Souza e Silva João Moreira Salles José Luiz Egydio Setubal Julia Guidon Setubal Winandy Luiza Rizzo Setubal Kairalla Marcelo Ribeiro do Valle Setubal Maria Alice Setubal
Maria de Lourdes Egydio Villela Mariana Lucas Setubal Marina Nugent Setubal O.E. Setubal S.A. Olavo Egydio Setubal Júnior Olavo
Egydio Mutarelli Setubal Patrícia Ribeiro do Valle Setubal Paula Lucas Setubal Paulo Egydio Setubal Paulo Setubal Neto Pedro Moreira Salles Ricardo Egydio Setubal Ricardo Villela Marino Roberto Egydio Setubal Rodolfo Villela Marino Rodrigo
Ribeiro do Valle Setubal Rudric ITH S.A. Tide Setubal Souza e Silva Nogueira Walther Moreira Salles Júnior b) Subsidiary and affiliated companies c) Issuer’s ownership interest in the group companies d) Group companies’ ownership
interest in the issuer e) Companies under common control Interest in voting capital (%) Interest in capital (%) Subsidiary or affiliated company In Brazil Itau Unibanco S.A. 100,00 100,00 Subsidiary Banco Itau BBA S.A. 99,99 99,99 Subsidiary Banco
Itaucard S.A. 99,99 99,99 Subsidiary Itau Administracao Previdenciaria Ltda. 0,00 0,00 Subsidiary Itau Consultoria de Valores Mobiliarios e Participacoes S.A. 100,00 100,00 Subsidiary Itau Seguros S.A. 0,00 0,00 Subsidiary ITB Holding Brasil
Participacioes Ltda. 0,00 0,00 Subsidiary Abroad Itau Corpbanca 22,45 22,45 Subsidiary Banco Itau Uruguay S.A. 100,00 100,00 Subsidiary Bicsa Holdings, Ltd. 99,99 99,99 Subsidiary OCA S.A. 100,00 100,00 Subsidiary Topaz Holding Ltd. 0,00 0,00
Subsidiary
15.8. Other significant information Additional information on items 15.1/15.2 a) Regarding the stockholding position of stockholder
BlackRock, Inc. (“BlackRock”), the Company informed that on March 30, 2011 it received the information that, as provided for in Article 12, CVM Instruction No. 358/2002, as amended by CVM Instruction No. 568/2015, as investment
manager of some of its clients, BlackRock acquired 159,335,737 preferred shares issued by Itaú Unibanco Holding. Considering the several corporate events in the Company since the interest acquisition, we present below the changes in the
BlackRock’s stockholding position, which represents 7.221% of preferred shares and 3.569% of BlackRock’s total capital stock. STATEMENT OF CHANGES IN BLACK’S STOCKHOLDING POSITION DATE EVENT OPENING BALANCE EVENT CLOSING BALANCE
03.30.2011 Opening balance at 03.30.2011, as provided by BlackRock (*) 159,335,737 – 159,335,737 11.01.2011 Stock split/reverse split, according to notice of 09.01.2011 159,335,737 159,335,700 159,335,700 04.19.2013 10% Bonus Share (ASM of
04.19.2013) 159,335,700 15,933,570 175,269,270 06.11.2014 10% Bonus Share (ASM of 04.23.2014) 175,269,270 17,526,927 212,075,817 07.31.2015 10% Bonus Share (ASM of 04.29.2015) 192,796,197 17,526,927 192,796,197 10.21.2016 10% Bonus Share (ASM of
09.14.2016) 212,075,817 21,207,581 233,283,398 11/26/2018 Stock Split according to notice of 11.01.2018 (EGM 07.27.2018) 233,283,398 116,641,699 349,925,097 (*)Ownership interest at base date 08.19.2010, as provided by the stockholders on
March 30, 2011.
b) On December 15, 2017, the Board of Directors resolved to cancel 31,793,105 common book-entry shares, of its own issue and held as treasury stock, without reducing capital, acquired by the Company by means of the Share Buyback Program authorized by the Board of Directors on August 31, 2017. As a result of this cancellation, the capital amounting to R$97,148,000,000.00 now comprises 6,550,514,438 book-entry shares with no par value, of which 3,319,951,112 are common shares and 3,230,563,326 are preferred shares, and the resulting changes in the Bylaws was resolved upon in the General Stockholders’ Meeting. c) On February 22, 2018, the Board of Directors resolved to cancel 14,424,206 common book-entry shares of its own issue and held as treasury stock, without reducing capital, acquired by the Company by means of the Share Buyback Program authorized by the Board of Directors on December 15, 2017. As a result of this cancellation, the capital amounting to R$ 97,148,000,000.00 now comprises 6,536,090,232 book-entry shares with no par value, 3,305,526,906 of which are common shares and 3,230,563,326 are preferred shares, and the resulting changes in the Bylaws was resolved upon in the General Stockholders’ Meeting. Additional information on item 15.3 The number of individual and corporate stockholders and institutional investors stated in item 15.3 hereof refers to the base date of January 31, 2021. The number of outstanding shares stated in item 15.3 hereof refers to the base date of January 31, 2021.
17.5. Other significant information Item17.1 – Information – Capital On December 15, 2017, the Board of Directors
resolved to cancel 31,793,105 common book-entry shares, of its own issue and held as treasury stock, without reducing capital, acquired by the Company by means of the Share Buyback Program authorized by the Board of Directors on August 31,
2017. As a result of this cancellation, the capital amounting to R$97,148,000,000.00 now comprises 6,550,514,438 book-entry shares with no par value, of which 3,319,951,112 are common shares and 3,230,563,326 are preferred shares, and the resulting
changes in the Bylaws were resolved upon in the General Stockholders’ Meeting. On February 22, 2018, the Board of Directors resolved to cancel 14,424,206 common book-entry shares of its own issue and held as treasury stock, without
reducing capital, acquired by the Company by means of the Share Buyback Program authorized by the Board of Directors on December 15, 2017. As a result of this cancellation, the capital amounting to R$97,148,000,000.00 now comprises
6,536,090,232 book-entry shares with no par value, of which 3,305,526,906 are common shares and 3,230,563,326 are preferred shares, and the resulting changes in the Bylaws were resolved upon in the General Stockholders’ Meeting. At the
Extraordinary General Stockholders’ Meeting of January 31, 2021, stockholders resolved on the transfer of the spun-off portion to contribute to the capital of XPart S.A. and the consequent reduction
of the Company’s capital stock in the amount of six billion, four hundred nineteen million Brazilian reais (R $6,419,000,000.00), with capital amounting to ninety billion, seven hundred twenty nine million Brazilian reais (R $90,729,000,000.00)
from ninety-seven billion, one hundred forty-eight million Brazilian reais (R $97,148,000,000.00, with no cancellation of shares. This approved capital reduction will be conditioned on the favorable approval from the Federal Reserve Board (FED), in
accordance with item 10.2 above. Therefore, the amendment to and consolidation of Article3, head provision, of the Company’s head provision, will be carried out
after such favorable opinion is obtained.
19.2 - In relation to securities held in treasury, in table format, segregated by kind, class, and type, indicate:
On 12/15/2017, we resolved on the cancellation of 31,793,105 common shares, all book-entry, issued by us and held in treasury, and we made available a line informing the event. On
02/22/2018, we resolved on the cancellation of 14,424,206 common shares, all book-entry, issued by us and held in treasury, and we made available a line informing the event. On 10/31/2018, BACEN approved the resolution taken by the Extraordinary
Stockholders’ General Meeting held on 07/27/2018, related to the stock split. The position of 11/19/2018 was used as the base date for this event, with the shares being included in the stockholding position on 11/26/2018, we made available a
line informing the event. The Annual General Stockholders’ Meeting took place on April 24, 2019. This event was approved by BACEN on 05/31/2019. The Annual General Stockholders’ Meeting was held on April 28, 2020. On January 31, 2021, the
Extraordinary General Stockholders’ Meeting took place, we made available a line informing the event.
a. opening number;
b. acquired number;
c. weighted average purchase price;
d. number sold;
e. weighted average sale price;
f. number cancelled;
g. closing number;
h. percentage in relation to outstanding securities of the same class and type.
01/31/2021
Common shares
Number(units)
Weighted average price (R$)
% in relation to outstanding securities of
Changes
the same class and type
Opening balance - 0.0%
Acquisition -
Disposal -
Cancellation -
Closing balance - 0.0%
Preferred shares
% in relation to outstanding securities of
Changes
Number (units)
Weighted average price (R$)
the same class and type
Opening balance 41.876.292 0.9%
Acquisition (*) -
Disposal (609.986) R$ 21.76
Cancellation -
Stock split -
Closing balance 41,266.306 0.0%
(*) Repurchase amounts include settlement, brokerage and
trading fees
04/28/2020
Common shares
Changes
Number(units)
Weighted average price (R$)
% in relation to outstanding securities of
the same class and type
Opening balance - 0.0%
Acquisition -
Disposal -
Cancellation -
Closing balance - 0.0%
Preferred shares
% in relation to outstanding securities of
Changes
Number (units)
Weighted average price (R$)
the same class and type
Opening balance 58,533,585 1.2%
Acquisition - (*)
Disposal (16,657,293) R$ 21.76
Cancellation -
Stock split -
Closing balance 41,876,292 0.9%
(*) Repurchase amounts include settlement, brokerage and trading fees
12/31/2019
Common shares
Changes Number (units) Weighted average price (R$)
Opening balance -
Acquisition -
Disposal -
Cancellation -
Closing balance -
% in relation to outstanding securities of
the same class and type
0.0%
0.0%
Preferred shares
Changes Number (units) Weighted average price (R$)
% in relation to outstanding securities of
the same class and type
Opening balance 83,614,426 1.8%
Acquisition (*) -
Disposal (25,080,841) R$ 21.76
Cancellation -
Stock split -
Closing balance 58,533,585 1.2%
(*) Repurchase amounts include settlement, brokerage and trading fees
12/31/2018
Changes Common shares
Number (units) Weighted average price (R$) % in relation to outstanding
securities of
the same class and type
Opening balance 14,424,206 0.4%
Acquisition -
Disposal -
Cancellation (14,424,206) R$ 37.05
Closing balance - 0.0%
Preferred shares
Changes Number (units) Weighted average price (R$) % in relation to
outstanding securities of
the same class and type
Opening balance 71,459,714
Acquisition (*) 13,100,000 R$
Disposal (29,623,265) R$
Cancellation
Stock split 28,677,977
Closing balance 83,614,426
(*) Repurchase amounts include settlement, brokerage and trading
fees 38.95
30.35 2.3%
1.8%
12/31/2017
Common shares
Changes Number (units) Weighted average price (R$) % in relation to outstanding securities of
the same class and type
Opening balance 3,074 0.0%
Acquisition 46,214,237 R$ 37.06
Disposal
Cancellation (31,793,105) R$ 37.06
Closing balance 14,424,206 0.4%
Preferred shares
Changes Number (units) Weighted average price (R$) % in relation to
outstanding securities of
the same class and type
Opening balance 69,604,462
2.2%
Acquisition (*) 37,982,900 R$ 36.25
Disposal (36,127,648) R$ 29.09
Cancellation
Bonificação -
Closing balance 71,459,714 2.3%
(*) Repurchase amounts include settlement, brokerage and
trading fees
19.3. Supply other information that the issuer may deem relevant
Not applicable.
21.3. Indicate management members responsible for implementing, maintaining, evaluating and inspecting the information disclosure
policy.
The members of the Disclosure and Trading Committee are: Alexsandro Broedel, Alfredo Egydio Setubal, Carlos Henrique Donegá Aidar, Eduardo Queiroz
Tracanella, José Virgílio Vita Neto e Renato Lulia Jacob.